1Organization Development An Introduction tothe Field.docx

1
Organization Development: An Introduction to
the Field, Its History, and Practices
©SallyElford/IkonImages/Corbis
LearningObjectives
After reading this chapter, you should be able to:
Describe the �ield of organization development in terms of its
purpose, philosophy, and de�initions.
Summarize the history of organization development, including
the key practices of each period.
Explore the roles, values, competencies, professional
associations, and ethics of an organization
development practitioner.
Morethan2,500yearsago,theGreekphilosopherHeraclitusobserved
,“Changeistheonlyconstant”(Mark,2010).This
sentimentisstilltruetoday.From�luctuationsinweatherandseasons
tothegrowth and aging of your own body,
changeisnotanoption—it is a fundamental principle of existence.
What changes have you experienced recently?
Perhapsyoubecameillorrecoveredfromanillness,enrolledinordrop
pedoutofaclass,werepromotedatworkor

changedjobs,endedarelationshiporgotmarried,orsimplychangedy
ourmindaboutsomething.
Astheseexamplessuggest,sometimeschangeisintended,butjustasof
tenitisunanticipatedorevenunwanted.For
example, few of us welcomed the recent global economic
downturn, which required us to adjust our budgets and
behaviorstocope.Werethesechangesplannedorunplanned?
Unplannedchangereferstochangesthatwereunexpected,liketheloss
ofajob,surprisesuccesses,thesuddendeathof
alovedone,afailedrelationship,naturaldisasters,ornewopportuniti
es.Whatunplannedchangeshavebeenthemost
signi�icantinyourlife?
Assessment:ChangeReadiness
Most people think they are open to change. But are they? When
change comes, do you �ind yourself curious
and even exhilarated, or are you angry, frustrated, and worried
that you are unprepared? Take a few
minutes to assess your readiness for change.
http://www.ecfvp.org/�iles/uploads/2_-
change_readiness_assessment_0426111.pdf
(http://www.ecfvp.org/�iles/uploads/2_-
change_readiness_assessment_0426111.pdf)
Plannedchangereferstoshiftsthatareintendedandpreparedfor,such
asgettinganeducation,learningnewskills,
movingtoanewcity,startinganewhobby,or�indinganewjob.Overth
epastfewyears,whatsigni�icantchangeshave
youplanned?Haveyoubeensuccessfulatimplementingthesechange
s?
TipsandWisdom

Bebop was about change, about evolution. It wasn’t about
standing still and becoming safe. If anybody
wants to keep creating they have to be about change.
—Miles Davis (1926–1991), U.S. jazz musician and composer
Embracing change is not always easy, but it rewards us with
new experiences, new insights, and new
creations.
http://www.ecfvp.org/files/uploads/2_-
change_readiness_assessment_0426111.pdf
©ImageZoo/Corbis
Organizationdevelopment(OD)helps
organizationscopewithchangeonaglobal
scale.
1.1WhatIsOrganizationDevelopment?
Like individuals, organizations are continually required to adapt
to
a dizzying number, variety, and pace of change if they are to
thrive.
These unplanned changes include globalizing markets,
emergence
of the knowledge economy, advancing technology, growing
customer diversity, shif-ting customer preferences, economic
upturns or downturns, natural disasters, unanticipated
competition, and abrupt reorganizations or changes in
management. To navigate such shifts, organizations engage in
plannedchange, an intentional process in which they take action
to solve problems or overcome challenges. Examples of planned
change in organizations include intentional shifts in products or

markets, mergers and acquisitions (at least for the controlling
company), prearranged reorganizations, expansion into new
regions or countries, and new product development.
Although individuals often manage planned change
independently,
organizations frequently seek help so that the planned change is
systematic, effective, and lasting. This assistance is known as
organizationdevelopment(OD). On its simplest
level, OD is a process of helping individuals, groups, and
organizations become more effective through planned
change.
De�iningOD
Among the many de�initions of OD, no single one is
universally accepted. Beckhard (1969) offers an early
de�inition
that is now considered classic: “Organization development is an
effort (1) planned, (2) organization-wide, and (3)
managedfrom the top, to (4) increase organizationeffectiveness
and healththrough (5) plannedinterventionsin the
organization’s ‘processes,’ using behavioral-scienceknowledge”
(p. 9).
Beckhard’s (1969) de�inition points to several key aspects of
OD:
1. It is a planned, intentional process to address a problem or
issue that needs to change.
2. It is organizationwide, based on an understanding that the
organization is an integrated system and that a
change made in one place may have rami�ications in others.
3. Topmanagement provides buy-in and support of the OD
effort.

4. OD activities address both the effectivenessandthehealth of
the organization by boosting its performance
while making it a more humane place to work.
5. It is an intentional process, grounded in evidence derived
fromthebehavioralsciences.
You can see Beckhard’s points in other popular de�initions of
OD, such as this one from Cummings and Worley
(2009): “Organization development is a system wide application
of behavioral science knowledge to the planned
development, improvement, and reinforcement of the strategies,
structures, and processes that leadtoorganization
effectiveness[emphasis added]” (pp. 1–2).
Similarly, Anderson (2012) advocated: “Organization
development is the process of increasing organizational change
through the use of interventions driven by
socialandbehavioralsciencesknowledge[emphasis added]” (p. 3).
In other words, OD is an intentional change process that
involves the total system. It takes an evidence-based
approach to planning change that improves the effectiveness and
health of the organization. Moreover, management
is personally invested in making the organization more effective
and healthy. Consultants who work with
organizations to identify and implement appropriate
interventions practice OD.
ODConsultantsandClients
Many organizations rely on professionals to steer them through
complex and changing environments with planned

responses to problems and challenges. These professionals are
known as organizationdevelopmentconsultants.
Also known as OD practitioners, human resource developers,
human resource managers, or learning and
development professionals, OD consultants are skilled at
assessing problems, providing direct feedback to the
organization, and in�luencing change. OD consultants lead
organizations through interventions that are based on
careful study and preparation and are grounded in the
behavioral sciences.
The key stakeholder in the OD process is known as the client.
Sometimes there is more than one type of client. For
instance, the person who initially contacts the OD consultant
may provide introductory information about the
problem but not be the owner of the problem or the person
paying for the services. It is important for OD
consultants to correctly identify the client—an issue we will
cover in Chapter 3.
WhenIsODWarranted?
Beckhard (2006) notes there are certain conditions that warrant
an organization engaging in an OD effort. These
include when a client or organization wants to
1. change a managerial strategy;
2. develop an organization that better meets the needs of
employees, the organization, and the environment in
which the organization works (markets, community, and so
forth);
3. change cultural norms;
4. change structure and roles;
5. build intergroup collaboration;
6. improve communications;

7. improve planning;
8. tackle issues related to mergers;
9. address motivation issues among the workforce; and
10. better adapt to a changed environment.
Have you experienced an OD effort at an organization you have
worked for? If so, what motivated it?
Interventions
When someone decides to make a change, they usually do
something speci�ic. For instance, if you decided to rein in
your spending, you might establish a budget, create a
spreadsheet to track it, switch to electronic banking, visit a
�inancial planner, or change your saving habits. Actions like
these that are taken to improve a situation are known as
interventions. What are some problems you have experienced
and interventions you have made?
In OD an intervention is a corrective action made to resolve
problems or address challenges. Interventions in OD
focus on tackling organization challenges such as low morale,
quality defects, shifting markets, new management,
leadership problems, strategic planning, and so forth.
PhilosophyofOD
Most of us want to do meaningful work in an organization that
has pleasant working conditions, with colleagues
who are respectful, and where our work is recognized and
rewarded. OD seeks to honor the individual and advance
organization goals. This commitment to bene�it all

organizational stakeholders is grounded in the philosophy of
humanism.
Humanism is the belief in the inherent good of human beings,
their capacity to reach full potential in life, and their
right to be treated fairly and humanely. “The OD value is not
about change but about change that makes people
better—humanistic values” (Marshak in Wheatley, Tannenbaum,
Yardley Grif�in & Quade, 2003, p. 4). OD experts
herald OD’s humanistic values as the �ield’s distinguishing
feature (Greiner & Cummings, 2004; Porras & Bradford,
2004; Wirtenberg, Abrams, & Ott, 2004), embracing the notion
that “the individual has to gain in the long-term for
the organization to gain in the long-term” (Porras & Bradford,
2004, p. 401).
Wirtenberg, Abrams, and Ott (2004) capture this sentiment:
The need in organizations to manifest socially responsible
values and create win–win business results has never
been greater. OD is in an excellent position to seize the
opportunity to build bridges, �ind common ground, and
address organizational and cultural divides. (p. 479)
If you are fortunate enough to work in an organization with a
highly functioning OD process, you should observe an
operation engaged in continual improvement for individuals,
teams, and the organization itself. As you read the case
study on Sparklite, ask yourself if this company is engaging in
humanistic practices.
CaseStudy:IsSparkliteaCandidateforOD?
Sparklite, a spark plug manufacturing plant, underwent a
management change 6 months ago when John
Stevenson became the plant manager. Stevenson replaced Al

Smith, who was a beloved manager and had
run the plant for 20 years. Smith was a hands-on manager. He
was always willing to roll up his sleeves and
work on a problem, whether it involved a machine in the plant
or a con�lict with a customer. He was not a
micromanager; rather, he would work closely with the team to
solve problems. He listened to input,
whether from the janitor or the vice president. He expected all
management personnel to behave similarly.
People who worked in the plant respected Smith and felt
respected by him. Over time a true community
atmosphere evolved, and the plant was one of the highest
performing in the company.
Stevenson, on the other hand, spends a lot of time in his of�ice,
reading over production numbers, talking
on the phone, and holding meetings with his management team.
Rarely does he go out onto the
manufacturing �loor and talk with employees or listen to their
ideas. When one of his managers suggests,
“It might be helpful if you spent more time getting to know our
workers,” Stevenson barks, “That is what I
pay the supervisors to do. My time is better spent on �inding
ways to cut costs and improve our margin.”
Stevenson is very driven by numbers: When they are not good,
he slams his �ist on the table and demands
that the next shift “pick up the slack.”
It does not take long for the supervisors to become afraid of
Stevenson and to quit coming to him with
problems. The convivial atmosphere the plant had enjoyed for
so many years quickly erodes into an
atmosphere of fear. Soon the plant’s performance begins to
suffer. Morale sinks. Members of the
management team begin applying for transfers to other
locations. Longtime workers are exploring other

employment options. This only makes Stevenson more
frustrated, agitated, and frightening to the workers.
One day a corporate vice president comes for a plant tour and
visit. It is immediately clear to her that the
plant has taken a turn for the worse. She talks with several
employees and can see that something has to
change.
CriticalThinkingQuestions
1. How might planned change play a role in turning things
around at Sparklite?
2. How aligned with humanism is the organization emerging
under Stevenson’s leadership?
CharacteristicsofOD
As we have already learned, OD is a planned change process
that is grounded in a humanistic philosophy. It also has
the following key characteristics (Beckhard, 2006, p. 9).
ODIsSystemsBased
OD interventions are planned with consideration for the whole
organization as a system. Like medicine, OD intends
to “�irst, do no harm.” Recall that the tenets of humanism
require that OD bene�it all stakeholders. This means, for
example, that before implementing a change to work �low, the
OD consultant would check to make sure the
adjustments do not have a negative impact elsewhere in the
organization. For instance, a work-�low change might
expose employees to repetitive-motion injuries or make the
work �low in another area unmanageable.

TopManagementIsCommitted
Effective OD secures management’s awareness of and
commitment to the chosen intervention and its management
from the very beginning. Employees look to management for
approval and example, and it is imperative for
organization leadership to visibly support any change effort. OD
consultants play a key role in holding management
accountable for demonstrating sustained and visible
commitment to the OD change process.
TheInterventionIsTiedtotheOrganization’sMission
A key aspect of securing management commitment is helping
leaders see how the OD initiative helps actualize the
organization’s mission. It is also important for employees to
understand this connection. For example, in the
Sparklite case study, the organization’s mission to produce
quality products on a timely basis was facilitated by a
collegial, collaborative atmosphere that was being eroded by
Stevenson’s behavior. If an intervention were made to
help Stevenson and other managers change their managerial
style to a more participative one, everyone would have
to understand and buy in to how the new behaviors would help
the organization meet its mission.
ThereIsLong-TermCommitmenttoImplementingtheIntervention
Although OD interventions can sometimes be relatively simple
and quick to implement, they often require a long-
term commitment, sometimes 2 to 3 years or more.
Interventions that change work practices, beliefs, or standards
do not succeed overnight. Making lasting organization change
needs long-term commitment and action from all
levels of the organization.

Consider a large change made by your organization—perhaps a
shift to a new database, marketing plan, or
procedure. How long did it take? Make a list of a few changes
you can recall and estimate how long they took.
Chances are, the more complex changes required more time and
resources.
ODHasa“BiasforAction”
Management guru Tom Peters, coauthor of
InSearchofExcellence,one of
the best-selling business books of all time, became famous for
saying that
ShannonFagan/Taxi/GettyImages
ThegoalofODistotaketimely,
meaningfulactiontoaddress
problems,challenges,and
opportunitieswithinthe
organization.
effective organizations have a “bias for action” (1982;
2004).Thismeans
that an organization engages in active decision making and
moves
quickly to action, rather than being caught in an incessant cycle
of
planning without action. Although OD implementation can take
a long
time, it is based on taking action, analyzing how the action is
working,
tweaking it, and repeating the process for as long as necessary.

ODFocusesonChangingAttitudesorBehavior
Lasting change occurs when people alter their ways of thinking
and
doing. This is why OD can be powerful and can also take a long
time to
implement. For example, when leaders experience opportunities
for
leadership development and receive feedback that indicates they
are not
as effective as they think they are, they usually engage in
introspection
and change. Becoming less autocratic may not happen
overnight, but real,
lasting change occurs as leaders experiment with new ways of
thinking
about their role as leaders and when they implement new
behaviors,
such as listening or including others in decision making.
ODTendstoIncorporateExperientialLearning
We will learn throughout this book that when people change,
they learn
new ways of thinking and doing. OD favors action; thus,
interventions
often create opportunities for employees to experience new
ways to
think and act. Can you recall a time when you participated in a
change
that prompted new learning? For example, when I participated
in a leadership development initiative, I learned how
to coach employees in a way that focused on helping them solve
problems on their own, rather than me giving them
the answer. Although there was a chance to learn about
coaching from books, I did not internalize it until there was

an employee in front of me with a problem and I made a
conscious effort to behave differently.
ODIsLargelyaGroupProcess
Most OD is not done in isolation. Even when consultants make
individual interventions such as providing training or
coaching, the goal is usually to help the person function better
with others. Similarly, changes in processes require
that groups understand and collectively implement the changes.
As we will discover, the �ield of group dynamics and
facilitation grew out of OD.
RealitiesandMisconceptionsAboutOD
To better understand what OD is, it is useful to explore what it
is not. Table 1.1 compares some common realities and
misconceptions about OD.
Table1.1:ODRealitiesandMisconceptions
ODrealities ODmisconceptions
OD is a systematic process of planned change to
address organization problems or issues. It follows the
action research model (introduced later in this
chapter).
OD is not management consulting or performance
improvement activities that focus on making speci�ic
expert, functional interventions that are disconnected
from the organization system.
ODrealities ODmisconceptions

OD is humanistic in that it seeks to improve
organizations through performance enhancements and
improvements to people that make an organization a
better place for all stakeholders.
OD is not oriented toward processes that only bene�it
the organization and economic values of performance
and productivity.
OD is strategic, and its interventions include a range of
activities.
OD is not simply training and development initiatives,
although often these interventions are erroneously
prescribed to address problems.
OD is a long-term commitment to change that requires
buy-in at multiple levels.
OD is not a short-term, quick �ix for problems.
OD interventions are customized to address needs
speci�ic to the organization and its goals.
OD does not come with a one-size-�its-all set of
interventions. Matching the right consultant with the
problem is important for effective OD.
The next section of this chapter examines OD’s origins and the
interventions that have developed over the past 70
years.
TakeAway1.1:WhatIsOrganizationDevelopment?
People constantly experience both planned and unplanned

change in the course of their personal
and work lives.
OD is a planned change effort that is supported by management
and applied system-wide to
increase organization effectiveness and health through
interventions targeted at organization
challenges or problems.
OD is practiced by individuals who help the organization cope
with and respond to change, also
known as OD consultants. They work with the key
organizational stakeholders or clients to resolve
problems.
OD is grounded in the philosophy of humanism that assumes
human goodness and seeks to do no
harm to the individuals or their organizations when making
changes.
Key characteristics of OD include: it is systems-based, top
management is committed, the
intervention is tied to the organization’s mission, there is a
long-term commitment to
implementing the intervention, there is a bias for action, it
focuses on changing attitudes or
behavior, it tends to incorporate experiential learning, and it is
largely a group process.
1.2TheHistoryofOD
If you work at a company, belong to a nonpro�it board,
participate in a professional organization, or are a member of
a church, it is likely you have engaged in team-building
exercises, �illed out climate surveys, collected data about the
organization, solved problems, developed talent, devised
strategy, or sought to change the organization. These
activities emerged during the historical evolution of OD,

beginning in the 1940s. These interventions are discussed
in chronological order in this section, which also introduces you
to some key terminology used in the �ield. (Refer to
the Key interventions in the history of OD interactive timeline
for a summary of OD’s historical development.)
KeyinterventionsinthehistoryofOD
T-GroupsandtheEmergenceofOD(1940s)
Kurt Lewin (1898–1947) is widely regarded as the father of OD
for his innovations in group dynamics and action
research, although he died before the term
organizationdevelopment came into use in the mid-1950s. It is
dif�icult to
overstate Lewin’s contributions to the �ield. As Burke (2006)
notes, “His thinking has had a more pervasive impact
on organization development, both directly and indirectly, than
any other person’s” (p. 25).
AssociatedPress
KurtLewincontributedtoODwith
innovationsingroupdynamicsand
actionresearch.Forthisreasonheis
oftenreferredtoasthefatherofOD.
Author of the well-known saying “If you want truly to
understand
something, try to change it” (as cited in Neill, 2004), Lewin
applied his
logic by working in organizations to facilitate change. His
practice and
research led to some of the most important discoveries about
group

dynamics and factors that help organizations make effective
change.
Lewin founded the Research Center for Group Dynamics at the
Massachusetts Institute of Technology (MIT) in 1944. His key
contributions include understanding group facilitation,
inventing action
research, and demonstrating that social interactions could be
studied
with controlled experiments. Lewin developed many of the
classic OD
interventions still in use today. These are discussed further in
this
chapter and throughout this book.
Can you recall a time when you discussed a process with a
group you
belong to? Or a situation in which it would have been helpful to
re�lect on
issues such as “What were your assumptions when you
disagreed with
the decision?” “What did you really want to say?” “What just
happened
here?” or “How did our behaviors impact the meeting?” When a
group
engages in such conversations, it is known as a training group,
or T-
group. This is a small group in which participants receive input
about
their own behaviors and discuss how they affect the group
dynamics.
Lewin accidentally discovered the process used in T-groups,
known as
laboratory training or sensitivity training. This “accident”
represented
the founding of OD.

The �irst T-group occurred in 1946 when Lewin, then a faculty
member at
MIT and director of the Research Center for Group Dynamics,
conducted
a training program aimed at improving community leadership
and interracial relationships for the American Jewish
Congress of New York’s Commission on Community
Interrelations. The T-group evolved when program participants
were invited to observe the daily posttraining debrie�ing
between community leaders and program facilitators.
The observers did not remain in that role for long; instead, they
jumped into the discussion to clarify, build on, or
dispute the observations raised by the trainers and researchers.
Lewin’s “aha moment” during these interactions
was the power of this act of re�lecting on the day’s experience
and questioning the assumptions and behaviors of the
individuals in the training program. These re�lections, in other
words, were more powerful than the training itself,
particularly in enabling participants to transfer their new
insights about group process back to relationships in their
workplace.
You may have unknowingly experienced an informal T-group if
you have ever met with coworkers to debrief a
meeting in which you spoke frankly and tried to make meaning
of your own and others’ actions during the meeting.
Sometimes this is known as “the meeting after the meeting.”
These exchanges are often much more enlightening and
educational than the formal meetings themselves.
WhoInventedThat?TheFlipChart
Ronald Lippitt and Lee Bradford are among those who helped
popularize the use of the �lip chart, a �ixture

in most meeting rooms today. They used the �lip chart to
record group insights and issues raised during the
1946 T-group sessions (French & Bell, 1999).
Although T-groups are still used today, their popularity has
waned because it is challenging to transfer insights from
the experience back to the workplace. Moreover, T-groups tend
to focus on individual behaviors and therefore are
not always effective at moving the group or organization to the
next level. Eventually, these limitations led to the
emergence of team building, representing OD’s �irst shift from
the individual to the group unit of analysis.
SociotechnicalSystems(1940s)
During the post–World War II era of rapid industrialization in
which T-groups emerged in the United States, changes
were also afoot in the United Kingdom, where Eric Trist and
Ken Bamforth of the Tavistock Institute
(http://www.tavinstitute.org/) encountered problems in their
consultancy with a coal mining company. The mining
teams were cohesive work groups that were responsible for
managing their work and received pay based on group
effort. However, they experienced problems when management
improved their equipment and technology in ways
that fractured their previously cohesive working arrangements.
Trist and Bamforth (1951) worked with the company to
reestablish the social elements that worked so well before
the technology changed. This was the �irst time that a
relationship between social and technical systems was
recognized. Both aspects had to be considered when
implementing change because they affected each other. In
short, organizations were now understood as

sociotechnicalsystems in which social and technical systems are
interrelated and interdependent.
Consider your own experience in school or at work. What are
the social and technical systems? How do they impact
each other? How has one affected the other?
ActionResearchandSurveyFeedback(1940s–1950s)
Lewin is known for saying, “There is nothing so practical as a
good theory” (as cited in Smith, 2001). He believed
that organizations should only enact interventions that are based
on sound data. Just as it is good practice for a
doctor to run tests to diagnose illness before prescribing
treatment, so too should organizations make data-based
diagnoses before prescribing treatments for organization
challenges. Kurt Lewin, John Collier, and William Whyte
believed that research and action had to be connected to help
organizations make and manage change. Based on this
belief, they developed a process of diagnosing organizational
ills in the 1940s known as action research.
ActionResearch
Actionresearch is a recurring, collaborative effort between
organization members and OD consultants to use data
to resolve problems. It is essentially a cycle of action and
research, followed by more action and research. For
example, Yvette might use a new meeting format with her team
(action) and decide to interview team members
about its effectiveness (research). What she learns is then
shared with the team, the meeting format gets modi�ied
(action), and so on. The action research process helps the
organization collect, analyze, and apply data to make
informed decisions and not waste time and money on
inappropriate interventions.

The steps of action research include
1. collecting data about organizational problems or functioning,
2. analyzing data to understand the issue,
3. devising and implementing interventions to solve the issue or
problem,
4. collecting additional data to evaluate the results, and
5. repeating the cycle (back to step 1).
For example, suppose an organization is experiencing high
turnover. Rather than just guessing about the cause and
trying a program to address it, such as providing training, the
action research process would investigate the
http://www.tavinstitute.org/
turnover issue �irst by collectingdata. Data might be collected
by conducting exit interviews with former employees,
surveying current employees about their intentions to leave,
conducting a climate survey, or talking with managers.
The second step, analyzingdata, involves interpreting the
�indings of the data collected in the previous step. The
action research process is iterative; that is, the cycle of data
collection and action are often repeated, and they inform
future action. So in the case of turnover, exit interviews with
former employees might reveal that the issue is related
to pay, which the organization may want to investigate further
by collecting industry data.
Once enough data are collected and analyzed, the organization
is ready to move on to the third step, devisingan
intervention. The best solution in this case might be to adjust
the pay scale.

Finally, the organization is ready for step 4, evaluatingresults.
This often involves additional data collection and
analysis, such as monitoring the turnover rate to see if the
intervention worked. If it did not, then the action research
cycle repeats (step 5).
We will return to this action research model throughout this
book. Together, the humanistic philosophy and the
action research process distinguish OD from other organization
problem-solving pro-cesses. Action research is a
valuable model to memorize and follow, whether or not you
intend to work in the OD �ield.
TipsandWisdom
A knee-jerk reaction to organization problems is often to
prescribe training. Yet training is one of the
costliest interventions to implement. When training is an
inappropriate intervention, not only have time
and money been wasted designing and delivering it, but the root
cause of the original problem has gone
unaddressed. This outcome can lead to further problems,
frustrated employees, and lower organizational
performance.
SurveyFeedback
Organizations often collect data on employee satisfaction. Have
you ever received a survey asking you to rate
organization variables related to management, innovation, and
satisfaction along a continuum from strongly
disagree to strongly agree? If so, you have completed a
Likertscale (Likert, 1932) for an OD intervention known as
surveyfeedback.

Survey feedback is usually shared in meetings by providing a
consolidated analysis of the results to work groups and
their supervisors. During the feedback meetings, the data are
discussed and next steps determined. Survey feedback
is widely used in all types of organizations today and can be
especially useful for monitoring change. Likert became
a leading proponent of participative management, probably as a
consequence of his immersion in data about
management practices through his work in developing survey
feedback.
WhoInventedThat?TheLikertScale
Rensis Likert (1903–1981), a colleague of Kurt Lewin, is best
known for creating organization attitude
surveys and the commonly used 5-point Likert scale. Likert
developed these scales for organizations to
measure employee satisfaction on a range of issues. They yield
more sensitive results than a simple yes or
no. Today it is easy to create Likert scales with the help of web-
based programs such as SurveyMonkey®.
You can also purchase surveys from various vendors or work
with a consultant to create a customized one
for your organization. Likert was a founder of the University of
Michigan Institute for Social Research. You
can learn about its history and his involvement at the institute’s
website:
http://home.isr.umich.edu/about/history/timeline(http://home.isr
.umich.edu/about/history/timeline).
ParticipativeManagement(1960s)
Take a moment to recall managers you have known or worked

with. They might have been teachers, pastors, bosses,
coaches, board presidents, and so forth. Whom did you really
like and respect? Why? Whom did you despise? Why?
Chances are that you admired the managers who earned your
respect and trust through behaviors such as listening,
seeking your input, respecting you as a person, valuing your
contributions, and admitting their own mistakes. These
behaviors are typical of participative managers or participative
management. The rise of participative
management emerged as OD consultants sought to apply OD’s
humane and democratic principles to management.
Likert (1977) developed a categorization of management types
and styles that helped popularize participative
management. These include:
Exploitative–authoritative: characterized by decision making
from the top with little teamwork or
communication (other than threats).
Benevolent–authoritative: characterized by a master–servant
relationship between management and
employees, in which rewards are used to motivate, with minimal
teamwork and communication.
Consultative: characterized by a relationship of trust among
management and subordinates, in which both
rewards and involvement are used to motivate and there is a
higher level of shared responsibility for
meeting goals with moderate amounts of teamwork and
communication.
Participative: characterized by managerial trust and con�idence
in employees such that goals are collectively
determined and rewarded, the responsibility for meeting
organization objectives is shared, work is
collaborative, and communication is open.
Which management de�inition typi�ies the organization(s) you
belong to? Now that you have guessed, take this

management-style quiz to �ind out.
Assessment:Management-StyleQuiz
Participative management differs from traditional authoritative
management styles that seek minimal
input from workers in running the organization and are built on
top-down management, decision making,
and communication with little lateral interaction or teamwork.
Participative managers, in contrast, engage
all levels of employees in decision making, problem solving,
and strategic planning. Participative
management techniques have been found to increase
productivity, quality, and satisfaction. OD consultants
are trained to help managers become more participative in their
managerial practice through activities
such as management development and executive coaching.
Use this Leadership Style Survey to assess your management
style:
http://www.nwlink.com/~donclark/leader/survstyl.html
(http://www.nwlink.com/~donclark/leader/survstyl.html). How
would you classify it? Are you happy with it,
or do you have some work to do?
http://home.isr.umich.edu/about/history/timeline
http://www.nwlink.com/~donclark/leader/survstyl.html
QualityofWorkLife(QWL)(1950s–1970s)
The quality-of-work-life (QWL) movement emerged in the
1950s and 1960s. It focused on enhancing
organizations’ sociotechnical systems by incorporating union–
management cooperation, emplo-yee involvement,
and self-directed work teams. QWL was grounded in the idea

that organizations should promote individual well-
being, team functioning, and overall organization health. The
in�lation and escalating energy costs characteristic of
the 1970s shifted QWL’s focus to global competitiveness,
productivity, and employee satisfaction and became known
as totalqualitymanagement(TQM). W. Edwards Deming is
credited with being one of TQM’s founders, although
his ideas did not develop traction in the United States until the
1980s. He was embraced in Japan much earlier.
Typical QWL–TQM activities include quality circles (groups of
employees that meet and identify process-
improvement projects), employee involvement, employee
empowerment, process improvement, team decision
making, and self-directed work teams.
TipsandWisdom
The TQM movement is alive and well today. Certi�ication in
TQM is offered by organizations such as the
American Society for Quality (http://asq.org/learn-about-
quality/total-quality-
management/overview/overview.html(http://asq.org/learn-about-
quality/total-quality-
management/overview/overview.html)) and iSix Sigma
(http://www.isixsigma.com/methodology/total-
quality-management-tqm/eight-elements-
tqm(http://www.isixsigma.com/methodology/total-quality-
management-tqm/eight-elements-tqm)). Many organizations also
apply for the Malcolm Baldrige Award,
which recognizes outstanding quality performance
(http://www.nist.gov/baldrige
(http://www.nist.gov/baldrige)). The International Organization
for Standardization provides international
standards for quality management (ISO 9000)
(http://www.iso.org/iso/home
/standards/management-standards/iso_9000.htm

(http://www.iso.org/iso/home/standards/management-
standards/iso_9000.htm)), with which many
organizations also seek to comply.
WhoInventedThat?Kaizen
Kaizen (Imai, 1986) means “improvement” or “change for the
best” in Japanese. The Kaizen principle
captures the notion of continuous improvement that became a
dominant in�luence in post–World War II
Japan and a key idea in the TQM movement. The Kaizen
principle applies to work processes, individuals,
groups, and all levels of the organization. Deming originated
the quality improvement principles that
helped Japan develop into a manufacturing powerhouse in the
United States, although they did not receive
traction in the United States until it became a competitive
necessity to improve quality in manufacturing.
OrganizationCulture(1980s)
http://asq.org/learn-about-quality/total-quality-
management/overview/overview.html
http://www.isixsigma.com/methodology/total-quality-
management-tqm/eight-elements-tqm
http://www.nist.gov/baldrige
http://www.iso.org/iso/home/standards/management-
standards/iso_9000.htm
As OD practice shifted from individuals to groups, the natural
progression was to expand that focus to the
organization itself and how it could be more effective and
ef�icient. With this shift, OD looked to the unique rules,
values, and rituals that governed the beliefs and behaviors of
organization members; that is, to the study of

organizationculture. Jacques (1951) de�ines organization
culture as
the customary or traditional ways of thinking and doing things,
which are shared to a greater or lesser extent by
all members of the organization and which new members must
learn and at least partially accept in order to be
accepted into the service of the �irm. (p. 251)
Schein (1991), a prominent culture scholar, de�ined culture as
a pattern of basic assumptions that are invented,
discovered, or developed by a given group as it learns to cope
with its problems of adaptation to the external
environment. He suggested that when we understand culture, we
can understand how it impacts its members’
thoughts, feelings, and actions. Think of a culture you belong to
and identify some of its beliefs, activities, and
customs.
Although the issue of culture was addressed in the study of
organizations as early as the 1950s, organizational
values and culture were rarely studied systematically until the
early 1980s (Peters & Waterman, 1982). The notion
driving this shift was that organization culture needed to align
with strategy. Consider high tech as an example.
Today the culture of these companies values creativity,
innovation, and speed. Companies such as Google or Apple
demand innovation on what is often referred to as “Internet
time”—intense hours and quick turnarounds on
projects. In return for the high expectations and long hours, the
work environments are casual and cater to every
need employees might have, including grooming, eating, health
care, child care, and even pet care. This type of
culture supports these companies’ strategy of being �irst with
the most innovative products and services. In
contrast, companies focused on �inance or manufacturing have

a very different organization culture.
Every organization has a culture governed by spoken or
unspoken rules. For example, some organizations are highly
hierarchical, and it would be culturally taboo to skip rank to
raise issues with upper management. Although this
cultural rule may not be written anywhere, violating it would
result in quick correction by the culture’s members.
Culture also has artifacts that express its values and rules. The
Apple corporation’s icon represents its mantra of
“think different” and has become an iconic representation of a
culture of innovation and design. Major university
sports teams have logos and mascots that carry meaning. For
example, the mascot of the University of Georgia is the
English bulldog. This symbol holds many meanings, and people
often refer to the university as “the Bulldawg
Nation” and have a ritual of barking during kickoff at football
games.
PlannedandStrategicChange(1980s–1990s)
When you set a goal for yourself and intend to be successful,
you typically have a plan. Consider your pursuit of a
college degree. You have probably plotted your course work,
determined your time line, and sought out people and
other supports to help you succeed. Without some sort of
strategy, your chances of success are slimmer. Similarly,
organizations make plans to help achieve their goals. In OD
these steps are known as planned and strategic change.
The movement toward planned and strategic change emerged as
OD consultants recognized the importance of
linking organization change initiatives to the broader strategy
and goals of the organization.
Earlier in the chapter, OD was described as planned change. OD
interventions such as updating software, shuf�ling

managers, or introducing new procedures typically �low from
decisions to make changes that are associated with a
higher performing organization. In contrast, strategicchange
involves aligning the organization’s strategy with its
mission while accounting for technical, cultural, environmental,
social, and political systems (Beckhard & Harris,
1977). For example, the organization might reach out to its
local community regarding recycling or pollution
reduction (environmental and political strategy), adopt a new
social networking marketing campaign (technical
strategy), or make deliberate efforts to shift the organization
culture through leadership development, management
reorganization, or mergers and acquisitions (cultural strategy).
Strategic change usually follows some type of
upheaval that may be unplanned, such as a change in
government regulations, competition, new technology, or a
new leader. Such strategic disruptions have occurred on a
national scale in the United States—for example, with
health care legislation, the rapid and broad adoption of
smartphones, and the election of President Barack Obama.
OrganizationLearningandtheLearningOrganization(1990s)
OD’s concentration on culture and strategic change fueled the
interest in learning as a key lever in creating high-
performing organizations in the 1990s. The shift to learning
also parallels the rise of the knowledgesociety, the
cultural and social shift away from industrialization to an
economy based on service and intellectual work.
How an organization acquires and uses knowledge is known as
organization learning. It involves ongoing,
collaborative learning among the employees. Song, Joo, and

Chermack (2009) describe organization learning “as the
collaborative learning process of individuals . . . [the] learning
processes that transform local or individual
knowledge into collective knowledge” (p. 47). A key bene�it of
organization learning is that it can help organizations
be more competitive when they enhance their capacity to create,
share, and preserve knowledge.
When organizations attempt to use learning as a strategic
advantage and create infrastructure and interventions to
do so, they are striving to become a learningorganization. This
concept was popularized by Peter Senge’s 1990
book The Fifth Discipline: The Art and Practice of the Learning
Organization. Senge (1990) de�ined learning
organizations as “organizations where people continually
expand their capacity to create the results they truly
desire, where new and expansive patterns of thinking are
nurtured, where collective aspiration is set free and where
people are continually learning how to learn together” (p. 56).
Watkins and Marsick (1993) suggested “a learning
organization is one that learns continuously and can transform
itself ” (p. 8). They developed the Dimensions of the
Learning Organization Questionnaire (DLOQ), which measures
learning organization capacity in seven areas:
1. Continuous learning: Opportunities for ongoing education
and growth are available, and learning is built
into the work itself to promote on-the-job learning.
2. Inquiry and dialogue: The organization culture is built around
developing the capacity to listen and inquire
into the assumptions and perspectives of others. Questioning
and feedback are welcome behaviors.
3. Team learning: Teams are expected to learn and create new
knowledge together.

4. Embedded system: Systems to capture and share learning
exist and are integrated with work and available
for employees to access.
5. Empowerment: Organization members are involved in
creating and implementing a shared vision and share
responsibility for attaining it.
6. System connection: The organization is connected to its
broader communities.
7. Strategic leadership: The leaders are committed to using
learning as a business strategy and support
learning efforts.
You can take the assessment below to evaluate your
organization’s readiness to become a learning organization.
Assessment:DimensionsoftheLearningOrganizationQuestionnair
e
Take the DLOQ to see if your organization is a learning
organization at this site:
http://www.partnersforlearning.com/instructions.html
(http://www.partnersforlearning.com/instructions.html).
A simple way to think about the difference between
organization learning and a learning organization is
that organization learning describes how an organization learns.
A learning organization is what an
organization does to strategically leverage organization learning
to improve performance and outcomes.

ContemporaryTrends(2000s)
“Organization effectiveness” and “employee engagement” are
the newest buzzwords on the OD scene. Both terms
have gained prominence only in the last decade.
Anderson (2012) explains that the idea of
organizationeffectiveness is not notably different from
organization
development and that it was part of Beckhard’s (1969) classic
de�inition. However, the shift may be away from
development, which some viewed as a “soft” term, and more
toward more practical efforts to quantify OD activities
and outcomes. Nevertheless, former PepsiCo chair Roger Enrico
is noted for saying, “The soft stuff is always harder
than the hard stuff ” (as cited in LeadershipNow, n.d.), meaning
that working on “soft” human relations issues such
as communication, leadership, team cohesion, con�lict
resolution, and the like are much more challenging than
repairing “hard” problems related to machinery, correcting
defects, and analyzing organizations’ �inancial waste.
To learn about the essentials of an effective organization and
how they relate to productivity, Haid, Schroeder-
Saulnier, Sims, and Wang (2010) conducted a global study of
nearly 29,000 employees from 10 major industry
sectors in 15 countries in the Americas, Europe, and
AsiaPaci�ic. Review the report “Organization Effectiveness:
Discovering How to Make it Happen” at
http://www.right.com/thought-
leadership/research/organizational-
effectiveness -discovering-how-to-make-it-happen.pdf
(http://www.right.com/thought-
leadership/research/organizational-effectiveness-discovering-
how-to-make-it-happen.pdf).

Interventions that promote employee involvement and
satisfaction are collectively known as employee
engagement. This trend may harken back to the employee
involvement and empowerment initiatives that were
characteristic of QWL/TQM programs in the 1980s. Anderson
(2012) noted that this return to individual concerns
may be a measure to counteract the emergence of organization
effectiveness. Noting that organization effectiveness
and employee engagement may be too young to gauge as true
OD trends, Anderson (2012) observed that they are
receiving attention in practice, if not research.
The interventions pro�iled in this section have traced OD from
its beginnings in the 1940s with T-groups focusing on
individual behavior and accountability, to strategic
interventions focusing on the organizational system’s
effectiveness and health. OD is both change oriented and
learning oriented, and each of these innovations has
advanced organization practices and policies.
Now that you have a better sense of what OD involves, you may
be wondering who implements it. The next section
explores the values, competencies, and ethics of the OD
consultant.
TakeAway1.2:HistoryofOD
Historically, OD evolved from T-groups that focused on
individual interventions to more systemic
and strategic interventions that target overall organization
health and functioning.
OD has helped us understand organizations as sociotechnical
entities in which the social and
technical systems affect and are affected by each other.
OD has been instrumental in making the workplace more
humane with its advocacy of

participative management, quality of work life, and total quality
management.
OD contributed some key tools to organizations during the 20th
century, including the �lip chart,
Likert scale, action research model, and survey feedback.
Contemporary OD seeks to be more strategic and to foster
learning, organization effectiveness,
and employee engagement.
http://www.right.com/thought-
leadership/research/organizational-effectiveness-discovering-
how-to-make-it-happen.pdf
GreatStock/Corbis
ODpractitionerscollaboratewithclientsto
planandimplementchange.Theycanbe
eitherinternalorexternaltothe
organization.
1.3BecominganODConsultant
If you are excited about what you are reading or perhaps are
already involved in change efforts at work, you might
be interested in pursuing a career in OD. Even if this is not the
�ield for you, awareness of OD can help you
participate more effectively in an organizational intervention or
prompt you to decide to talk to an OD consultant to
facilitate organization change. This section describes OD
consultants and identi�ies the values, ethics, and
competencies needed for effective practice as well as
professional communities.
TipsandWisdom
Advanced graduate training is recommended for those interested

in pursuing a career as an OD consultant.
There are several outstanding graduate programs in OD and
human resource development that can
provide this specialized training. The Academy of Resource
Development maintains a comprehensive
listing of graduate programs in this area. See http://www.hrd-
directory.org(http://www.hrd-
directory.org).
WhoIstheODConsultant?
There are at least three types of OD consultants (Cummings &
Worley, 2009):
The �irst type includes internal or external consultants.
Internal consultants are employed by the organization as
permanent employees. External consultants are not
members of the organization and are hired on a temporary
basis. OD consultants typically have advanced training in
the �ield, ascribe to humanistic values, and have expertise
in group dynamics, facilitation, decision making, coaching,
leadership, and other social process areas.
The second type are often management consultants
working in content-oriented �ields related to OD, such as
total quality, organization design, reward systems,
information technology, or business strategy (Cummings &
Worley). They work in conjunction with OD consultants to
implement interventions.
The third type includes managers who apply OD to their
own functional areas. Although they may not be formally
trained in OD, their organizations provide training, and
they gain experience from interventions they are
responsible for managing. This manager-as-OD-
practitioner is on the rise as organizations attempt to
rapidly implement change. Managers often build this
expertise by working with OD consultants in ongoing

change programs in their organizations.
http://www.hrd-directory.org/
Cummings and Worley (2009) note that the distinctions between
these three types of OD consultants are blurring.
See the Tips and Wisdom in this section for advice on pursuing
an OD career.
ODValuesandEthics
Humanism has already been introduced as an underlying
philosophy of OD. People who embrace humanism seek to
trust and respect others and help them develop and grow. They
also value democracy, equity, and fair treatment. In
OD this translates into creating healthy, equitable, af�irming
organizations for all members.
Anderson (2012) translated OD’s history of humanism into
modern-day values that include
1. participation, involvement, and empowerment;
2. groups and teams;
3. growth, development, and learning;
4. valuing the whole person;
5. dialogue and collaboration; and
6. authenticity, openness, and trust.
Each will be discussed in the following sections.
Participation,Involvement,andEmpowerment
OD is not about consultants prescribing change in isolation.
Rather, it is a collaborative, democratic partnership in
which organization members have input throughout the process

and co-own the change. This value re�lects an
understanding that changes only endure when system members
have involvement and say in the changes chosen
(Schein, 1990). That is why interventions that promote
organization members’ participation, involvement, and
empowerment are so highly valued in OD. Examples of these
types of interventions include participative
management, T-groups, survey feedback, quality of work life,
and learning organizations.
GroupsandTeams
An organization relies on groups and teams to do its work.
Groups and teams are often the focus of OD
interventions. Beckhard (1969) emphasized that “the basic
building blocks of an organization are groups (teams)”
(p. 26). A key competency for OD practitioners is to understand
group dynamics and strategies for facilitating group
process. High-performing groups and teams are built on
productive relationships among members, high levels of
communication, clearly de�ined roles, speci�ic goals, the
ability to resolve con�lict, and recognition for goal
attainment. When groups and teams are high performing, they
create great results for the organization.
Growth,Development,andLearning
“Perhaps the value that differentiates organization development
from most other management and consulting work
is its emphasis on growth, development, and learning”
(Anderson, 2012, p. 42). This value is also in sync with the
reality that adults are continually learning, developing, and
changing throughout their lives (Merriam & Bierema,
2014). A signi�icant amount of adult learning happens in the
workplace, whether it is formal education in a �ield
such as accounting, formal training on how to use computer

software, informal learning where workers observe or
ask coworkers how something is done, or incidental learning
that is a byproduct of something else (for instance, one
might observe interpersonal dynamics between colleagues
during a meeting and conclude they do not like each
other). Valuing growth, development, and learning also �its
with OD’s humanistic philosophy that through learning
and development we can turn around nonperforming individuals
and teams; learn what is preventing optimal
performance; and create organizations that promote, rather than
impede, learning.
ValuingtheWholePerson
Consider yourself. You probably have a job title, but this is not
the totality of who you are. In addition to that, you
have roles, hobbies, interests, and relationships outside work.
Sometimes in organization life we typecast people
based on their positions and fail to consider their input or
interest in issues beyond the scope of their job. For
example, a secretary might be heavily involved in community
service, serving on nonpro�it boards, holding key
leadership roles, facilitating meetings, and leading strategic
planning. These experiences could provide valuable
insights to her organization, yet when it comes to setting
organization strategy, no one thinks to engage her because
she is a secretary. Valuing the whole person means seeing
organization members as people, not positions. It involves
treating people with respect and inviting their participation. It
also incorporates creating an environment that
values diversity and inclusion—one where people feel welcome
and valued regardless of age, race, gender, class,
national origin, sexual orientation, ethnicity, religion, physical
ability, and so forth.

DialogueandCollaboration
“A key value in organization development is the creation of
healthy environments that promote collaboration rather
than competition, with the assumption that a win–win solution
is both possible and more desirable than con�lict”
(Anderson, 2012, p. 44). How individuals and groups
communicate with each other has a signi�icant impact on
whether collaboration is possible. Our cultural communication
pattern in the United States is debate centered. That
is, people often take a win–lose stance in conversations. The
exchange is not about creating meaning or
understanding, but rather about swaying the other person to
your way of thinking. This type of advocacy-based
conversation is known as discussion (Ellinor & Gerard, 1998;
Senge, 1990). Discussion is not necessarily bad, since
advocating ideas is necessary for us to make decisions. Where it
breaks down is when an advocacy stance is the only
mode of discourse used. All you need to do is turn on talk radio
or television to see daily—if not hourly—examples
of this highly confrontational, negative, nonproductive form of
discourse at its extreme. Sadly, it has become the
default way of communicating in many social settings,
including organizations.
An alternative form of discourse is one in which you do not
seek to prove your views as right or superior, but rather
to understand differing, perhaps contradictory viewpoints. This
is known as dialogue, or inquiry-based
communication. To effectively dialogue, you must suspend
judgment of various viewpoints, identify your
assumptions, truly listen to others, and practice inquiry and
re�lection (Ellinor & Gerard, 1998). When we dialogue,
rather than trying to determine who has the right answer, we
usually generate new meanings and ways of thinking

no one had thought of previously. OD practitioners must
become experts at dialogue because it effectively invites the
client into the conversation. Rarely should an OD practitioner
give clients the answer or tell them what to do.
Instead, the consultant might say: “What is not working?”
“What is one thing we could do today to begin addressing
the problem?” “What I hear you saying is . . .” “Would you say
more about that?”
Learning how to dialogue is important for implementing
effective philosophy and practicing OD because it helps
build collaborative relationships and bridge understanding. It
also builds knowledge and tolerance since it is based
on inquiry rather than advocacy and explores new ideas.
Discussion is useful when the group is ready to make a
decision—ideally after the group or organization has done its
best thinking and meaning making—through
dialogue. The key is to �ind ways to better balance the use of
discussion and dialogue.
Authenticity,Openness,andTrust
Authentic behavior with a client means you put into words what
you are experiencing with the client as you
work. Thisisthemostpowerfulthingyoucandotohavetheleverage
you are looking for and to build client
commitment.(Block, 1999, p. 37)
Authenticity as an OD practitioner involves candidly sharing
observations or asking questions of clients without
alienating them. Being authentic means sharing honest feedback
with the client in a way that saves face. Valuing
authenticity, openness, and trust enables OD practitioners to

identify the “elephant in the room” in a tactful and
respectful manner.
A consultant once worked with a very command-and-control
president whom most employees feared. She found
herself greatly affected by his mood. In one of their meetings,
he shared that he was perplexed about how to better
motivate his workforce. She looked at him and said, “You
know, I think you should just try smiling for a change and
see what kind of results you get.” The president was furious at
the “frivolous” suggestion and threw her out of his
of�ice. Nonetheless, after about 3 weeks, he called the
consultant back and admitted, “You were right.” He could not
believe the effect a visible change in his demeanor had on his
employees. The consultant in this story risked being
authentic with the client and in the end was able to have a
profound in�luence on him when he realized his effect on
the organization. When OD practitioners are successful with
authenticity, clients become more open and trust the
relationship. See the Tips and Wisdom in this section to see
how other OD consultants use smiling as an
intervention.
TipsandWisdom
5 Reasons to Smile More as a Leader
1. It helps others relax.
2. It draws people to you.
3. It enables you to connect.
4. It creates positive culture.
5. It elevates your mood.
For more on these reasons, visit http://us2.campaign-
archive1.com/?
u=52d5c7778a3adfda535c3b349&id=da7bef9cf2&e=6302681a5f

(http://us2.campaign-archive1.com/?
u=52d5c7778a3adfda535c3b349&id=da7bef9cf2&e=6302681a5f
).
ODCodeofEthics
OD practitioners abide by the International Society for
Organization Development and Change’s code of ethics. They
are available at: http://www.isodc.org/resources/Pictures
/CodeofEthics.pdf
(http://www.isodc.org/resources/Pictures/CodeofEthics.pdf).
OD’s humanistic orientation is evident throughout this code, in
its emphasis on quality of life, health, justice, dignity,
win–win outcomes, holistic perspectives, and participative
decision making. What aspects of the OD code of ethics
resonate with you? How well are you living up to this code?
How well is your organization living up to this code?
CompetenciesofODPractitioners
“A consultant is one who provides help, counsel, advice, and
support, which implies that such a person is wiser than
most people” (Burke, 1992, p. 173). According to Cummings
and Worley (2009), OD consultants need the following
foundational competencies to be effective at OD. Foundational
competencies represent the theoretical knowledge
that is helpful when doing OD work. This theoretical knowledge
includes an understanding of the following:
organizational behavior,
individual psychology,
http://us2.campaign-
archive1.com/?u=52d5c7778a3adfda535c3b349&id=da7bef9cf2
&e=6302681a5f

http://www.isodc.org/resources/Pictures/CodeofEthics.pdf
group dynamics,
management and organization theory,
research methods and statistics,
comparative cultural perspectives, and
functional knowledge of business.
Beyond this theoretical knowledge is a host of competencies
related to facilitating an OD process and engaging with
your client interpersonally. The Organization Development
Network has provided a comprehensive list of OD
competencies on its website
(http://www.odnetwork.org/?page=ODCompetencies(http://www
.odnetwork.org/?
page=ODCompetencies) ). You can download a PDF of the list
here:
http://c.ymcdn.com/sites/www.odnetwork.org/resource/resmgr/d
ocs/od_competencies.pdf
(http://c.ymcdn.com/sites/www.odnetwork.org/resource/resmgr/
docs/od_competencies.pdf).
The list includes 16 areas with 141 competencies that make OD
practitioners effective. The 16 areas include the
following:
1. Marketing services as an OD practitioner or consultant.
2. Enrolling the client by building trust.
3. Contracting with the client to establish the boundaries of the
consulting relationship.
4. Conducting a mini-assessment to clarify issues, pinpoint
biases, and identify power relations.
5. Diagnosing the root problem using a process of data
collection and analysis.
6. Sharing feedback of the data analysis with the client.

7. Planning the appropriate intervention based on data analysis
and feedback.
8. Facilitating participation of key stakeholders in the decision
making and implementation of the intervention.
9. Implementing the intervention to address the root problem.
10. Conducting evaluation to assess whether the intervention
effectively solved the problem.
11. Followingup with the organization to monitor and adjust the
changes made as a result of the intervention.
12. Monitoring the client’s adoption of the changes.
13. Facilitating the separation of the consultant from the
organization (promoting client independence).
14. Developing and enhancing self-awareness to ensure you are
functioning at a high level of mental, physical,
spiritual, and intellectual health.
15. Honing your interpersonalskills in a way that makes you a
role model to the client due to building trust with,
listening to, and respecting others.
16. Managing other areas of OD competency that build cultural
sensitivity, technical competence, and ongoing
learning to stay current and relevant as an OD practitioner.
You may be thinking that this is a formidable list! The array of
technical, diagnostic, and interpersonal skills is
somewhat daunting and requires those who practice OD to
engage in continuous learning, growth, and
development. This ongoing self-improvement helps us develop
into leaders and role models our clients want to
listen to and emulate. These core competencies will be examine
in more detail later in this book.
Burke (1992) states that having foundational and core

competency is necessary but not suf�icient to do OD. He adds
important interpersonal competencies for effective practice.
These include:
Tolerating ambiguity. There are no recipes for OD because
every organization and problem is unique and
requires a customized solution.
In�luencing the client. Consultants rarely have formal
organizational power to implement interventions,
making persuasive skills imperative. Block (1999) eloquently
summed up the life of a consultant as having
in�luence without power.
Being direct. As discussed in the authenticity section, this
requires confronting dif�icult issues that no one
wants to raise.
Providing support. Clients need support as they encounter
challenges related to change, such as con�lict,
resistance, or stress.
http://www.odnetwork.org/?page=ODCompetencies
ocs/od_competencies.pdf
Controlling your own emotions. Your presence, behaviors, and
comments signi�icantly impact the client and
organization. Remember to behave calmly and respectfully.
Recognizing and using teachable moments. OD is a learning
process for the client, so it is important to
recognize and use teachable moments as they arise.
Maintaining a sense of humor. Consulting work can be
challenging and stressful, so humor is a good tension
breaker.
Executive presence. This means exuding self-con�idence,
interpersonal savvy, and a sense of mission about
your work.

ProfessionalCommunities
Now that we have reviewed the types of OD practitioners and
their values, ethics, and competencies, let us examine
the professional community of OD. Organizations where OD
professionals can network with each other include:
International Society for Organization Development and Change
http://www.isodc.org(http://www.isodc.org)
Organization Development Network
http://www.odnetwork.org(http://www.odnetwork.org)
These organizations have conferences, training, journals and
newsletters, and other resources to support OD
practitioners.
Journals dedicated to advancing both research and practice of
OD include:
HumanResourceDevelopmentInternational
http://www.tandfonline.com/toc/rhrd20/current#.UemsUGkS75h
(http://www.tandfonline.com/toc/rhrd20/current#.UemsUGkS75
h)
HumanResourceDevelopmentQuarterly
http://onlinelibrary.wiley.com/journal/10.1002/(ISSN)1532–
1096
(http://onlinelibrary.wiley.com/journal/10.1002/(ISSN)1532-
1096)

Leadership&OrganizationDevelopmentJournal
http://www.emeraldinsight.com/products/journals/journals.htm?
id=lodj
(http://www.emeraldinsight.com/products/journals/journals.htm
?id=lodj)
OrganizationalDynamics
http://www.journals.elsevier.com/organizational-
dynamics(http://www.journals.elsevier.com/organizational-
dynamics)
Being an OD practitioner demands the best of you—to be a role
model of change, behave humanistically, collaborate,
and be versed in OD’s content and process. We will go into
more depth about this dynamic and exciting �ield in the
next chapters.
TakeAway1.3:BecominganODConsultant
http://www.isodc.org/
http://www.odnetwork.org/
http://www.tandfonline.com/toc/rhrd20/current#.UemsUGkS75h
http://onlinelibrary.wiley.com/journal/10.1002/(ISSN)1532-
1096
http://www.emeraldinsight.com/products/journals/journals.htm?
id=lodj
http://www.journals.elsevier.com/organizational-dynamics
OD can be practiced on multiple levels, including participating
in a process in the course of your
work life, managing a function in which OD is applied,
assisting an OD process with specialized
knowledge, or working as an OD consultant.

OD’s values and ethics are grounded in its humanistic
philosophy and include participative
management, teamwork, continuous learning, collaboration, and
a spirit of authenticity and
openness.
Being an OD practitioner or consultant involves developing
book knowledge of OD foundations and
theory, as well as process knowledge that will help the
practitioner be a high-functioning role
model for leadership and organization innovation.
SummaryandResources
ChapterSummary
People constantly experience both planned and unplanned
change in the course of their personal and work
lives.
OD is a planned change effort that is supported by management
and applied system-wide to increase
organization effectiveness and health. It uses interventions
targeted at organization challenges or problems.
OD is practiced by individuals known as OD consultants. They
help the organization cope with and respond
to change and work with the key organizational stakeholder or
client to resolve problems.
OD is grounded in the philosophy of humanism that assumes
human goodness and seeks to do no harm to
the individuals or their organizations when making changes.
Key characteristics of OD include: it is systems-based, top
management is committed, the intervention is tied
to the organization’s mission, there is a long-term commitment
to implementing the intervention, there is a
bias for action, it focuses on changing attitudes or behavior, it
tends to incorporate experiential learning, and

it is largely a group process.
Historically, OD evolved from T-groups that focused on
individual interventions to more systemic and
strategic interventions that target overall organization health
and functioning.
OD regarded organizations as sociotechnical entities in which
the social and technical systems affect and are
affected by each other.
OD has been instrumental in making the workplace more
humane with its advocacy of participative
management, quality of work life, and total quality
management.
OD contributed some key tools to organizations during the 20th
century, including the �lip chart, Likert
scale, action research, and survey feedback.
Contemporary OD seeks to be more strategic and foster
learning, organization effectiveness, and employee
engagement.
OD can be practiced on multiple levels, from participating in a
process in the course of your work life,
managing a function where OD is applied, assisting an OD
process with specialized knowledge, or working
as an OD consultant.
OD’s values and ethics are grounded in its humanistic
philosophy and include participative management,
teamwork, continuous learning, collaboration, and a spirit of
authenticity and openness.
Being an OD practitioner or consultant involves developing
book knowledge of OD foundations and theory,
as well as process knowledge that will help the practitioner be a
high-functioning role model for leadership
and organization innovation.
ThinkAboutIt!Re�lectiveExercisestoEnhanceYourLearning
1. Describe your own work setting. How humanistic is it?
2. Lewin was famous for saying, “If you want truly to

understand something, try to change it” (as cited in Neill,
2004). What does this statement mean to you? How does it
relate to a change you have attempted to make?
3. What situations in your current work experience would be
enhanced by an OD process, or what has been
your experience with OD?
4. Where have you observed a humanistic philosophy in action?
How would you rate your organization in
terms of humanism?
5. What OD interventions pro�iled in this chapter have you
experienced?
6. How will knowledge of OD help you in your current or future
career?
ApplyYourLearning:ActivitiesandExperiencestoBringODtoLife
1. Identify your educational philosophy by taking the
Philosophy of Adult Education Inventory located at
http://ctl810.wikispaces.com/�ile/view/paei.tex.pdf(http://ctl81
0.wikispaces.com/�ile/view/paei.tex.pdf).
What is your dominant orientation? (Note: You might have
more than one dominant philosophy.)
2. Conduct a web search of the historical �igures of OD noted
in this chapter, such as Kurt Lewin, Richard
Beckhard, Rensis Likert, Peter Senge, or Karen Watkins.
a. Identify their key philosophy.
b. Note their key contributions to OD.
3. Return to the Sparklite case study and revisit your answers to
the questions.

a. How are they different now that you have completed the
chapter?
b. If you were an OD consultant hired to help the employees,
what would be your �irst steps? (You may want
to return to your answers after you have �inished reading the
entire book.)
c. Think of questions you would like to ask the employees.
4. Visit a website like Monster or Indeed and conduct a search
on OD jobs. This will be valuable information if
you plan to seek a career in OD. Scan the job descriptions and
note:
a. job titles
b. key training, skills, and competencies that regularly pop up
in the postings
c. salaries
d. types of organizations
e. other interests you may have
5. Identify two OD practitioners in two different organizations
and interview them about their role. Ask them
to describe:
a. their training and preparation
b. their career history
c. OD interventions they are proud of and what characterized
them
d. mistakes they have made
e. advice they would give new entrants to the �ield
6. Attend a local OD professional meeting. The Organization
Development Network has local chapters in major
metropolitan areas.
a. What did you learn about the �ield? Its practitioners?
b. Follow up with someone you met at the meeting and conduct
an informational interview.

7. Attend a national meeting of an OD organization.
a. What key trends did you notice?
b. What did you learn from the attendees (insights,
introductions, and so forth)?
8. Write a review of an article from one of the OD journals
listed in this chapter.
a. Consider how you might apply the ideas listed in the article.
b. Identify your critiques of the article.
9. Identify and evaluate OD interventions you have experienced
in your organization.
10. Review the list of competencies for OD practice. Which
ones do you have experience with? Which ones do
you want to develop?
AdditionalResources
Media
FiveWaystoBuildaResilientOrganization
http://youtu.be/DMEodKZCNmg(http://youtu.be/DMEodKZCN
mg)
IndustryAtlas:ThePursuitofHappiness
http://youtu.be/N4WMoegOuHY(http://youtu.be/N4WMoegOuH
Y)
WebLinks
http://ctl810.wikispaces.com/file/view/paei.tex.pdf
http://youtu.be/DMEodKZCNmg
http://youtu.be/N4WMoegOuHY

Philosophical Re�lections on Change Inspired by Heraclitus
http://www.thedailyphilosopher.org/daily/000011.php(http://ww
w.thedailyphilosopher.org/daily/000011.php)
International Organization Development Association, an
international network of OD professionals, consultants,
practitioners and social scientists.
http://www.iodanet.org/(http://www.iodanet.org/)
Organization Development, consultant Don Clark’s site
containing information and knowledge on performance,
learning, training, and leadership.
http://www.nwlink.com/~donclark/history_management/od.html
(http://www.nwlink.com/~donclark/history_management/od.htm
l)
Action Research and Action Learning, by Australian consultant
Bob Dick.
http://www.aral.com.au(http://www.aral.com.au)
ActionResearchInternational, a refereed online journal of action
research.
http://www.aral.com.au/ari/arihome.html(http://www.aral.com.a
u/ari/arihome.html)
Canadian Journal of Action Research, a freely accessible, full-
text, peer-reviewed electronic journal intended for
elementary, secondary, and university teachers who are
concerned with exploring the unity between educational
research and practice.

http://cjar.nipissingu.ca/index.php/cjar(http://cjar.nipissingu.ca/
index.php/cjar)
Organisation Development: The Ultimate Practitioners Guide
for All Things OD, by consultant Carrie Foster.
http://organisationdevelopment.org(http://organisationdevelopm
ent.org)
Learn more about Kurt Lewin, Rensis Likert, and action
research at these links:
http://infed.org/mobi/kurt-lewin-groups-experiential-learning-
and-action-research
(http://infed.org/mobi/kurt-lewin-groups-experiential-learning-
and-action-research)
http://infed.org/mobi/action-
research(http://infed.org/mobi/action-research)
To learn about employee motivation and survey research, see:
http://www.businessballs.com/employeemotivation.htm(http://w
ww.businessballs.com/employeemotivation.htm)
To learn more about organization culture, see the Free
Management Library’s resources on the topic:
http://managementhelp.org/organizations/culture.htm(http://man
agementhelp.org/organizations/culture.htm)
The Tavistock Institute of Human Relations (TIHR), which
applies social science to contemporary issues and
problems. The Institute is engaged with evaluation and action
research, organizational development and change

consultancy, executive coaching and professional development,
with the goal of supporting sustainable change and
ongoing learning.
http://www.tavinstitute.org(http://www.tavinstitute.org)
Refer to Infed for a good overview of organization learning:
http://www.thedailyphilosopher.org/daily/000011.php
http://www.iodanet.org/
http://www.nwlink.com/~donclark/history_management/od.html
http://www.aral.com.au/
http://www.aral.com.au/ari/arihome.html
http://cjar.nipissingu.ca/index.php/cjar
http://organisationdevelopment.org/
and-action-research
http://infed.org/mobi/action-research
http://www.businessballs.com/employeemotivation.htm
http://managementhelp.org/organizations/culture.htm
http://www.tavinstitute.org/
http://infed.org/mobi/learning-in-organizations-theory-and-
practice (http://infed.org/mobi/learning-in-
organizations-theory-and-practice)
KeyTerms
actionresearch
authenticity
client
dialogue

discussion
employeeengagement
humanism
intervention
knowledgesociety
learningorganization
Likertscale
organizationculture
organizationdevelopment(OD)
organizationdevelopmentconsultant
organizationeffectiveness
organizationlearning
participativemanagement
plannedchange
qualityofworklife(QWL)
sociotechnicalsystem
strategicchange
surveyfeedback

T-group
totalqualitymanagement(TQM)
http://infed.org/mobi/learning-in-organizations-theory-and-
practice
2 Organization Change
LornaWilson/Taxi/GettyImages
LearningObjectives
Categorize change according to rate of occurrence, how it
comes about, and scale.
Provide examples of personal and organizational interventions
that represent developmental,
transitional, and transformational change; �irst- and second-
order change; and operational and
strategic change.
Discuss the systems approach to change.
Describe three levels of change, including individual, group or
team, and organization or system.
Compare and contrast �ive models of organization change.
ScottAnderson/TheJournalTimes/AP

BlockbusterVideofailedtoanticipate
changeandcouldnotcompetewith
Net�lixandotherdigitalmovie
sources.
Writedownthenamesof�ivehighlysuccessfulcompaniestodaythat
werejustasdominant25yearsago.Areyouable
tothinkof�ive?Companies,likelivingorganisms,tendtohavealimit
edlifespan.Veryfewremaincompetitiveformore
thanadecadeortwo.Instead,asNewman(2010)pointedout,companie
stendtolosetheiredgebecausetheyfailto
innovateandchange.Asheputit,theybecomeobsessedwithcompetin
ginthepresentandlosesightofthefuture.
Newmanlisted10examples:Blockbuster,Dell,EastmanKodak,
Motorola, Microsoft, Sears, Sony, Sun Microsystems,
Toys“R”Us,andYahoo.Youcanprobablythinkofothers.Letuslooka
tacoupleoftheseexamples.
BlockbustereasilytransitionedfromVHStoDVDformatsbutfailedt
oanticipatethatcontentwouldbecomeavailable
viamail,vendingmachinerentals,videoondemand,andvideostreami
ng.CompaniessuchasNet�lixandRedboxdid
anticipateandadapttothistrend,however.Blockbusterbecameobsol
ete,closinghundredsof stores, accumulating
debt,andstrugglingtoregainitscompetitiveedge.
EastmanKodakdominatedthecommercializedcameraindustryforne
arly
a century, with innovations such as the Brownie camera in 1900,
Kodachrome color �ilm, the handheld movie camera, and the
easy-load
Instamaticcamera.Inspiteofsuchinnovation,Kodakfailedtoanticip
ate
theadventofdigital photography. Today most of us use our cell
phone,
iPad,digitalcamera,andavarietyofappsandwebsitestotake,store,alt

er,
print,andsharephotos.LikeBlockbuster,Kodakstruggledtoinnovat
ewith
foraysintopharmaceuticals,memorychips,healthcareimaging,docu
ment
management,andmanyother�ields.Unfortunately,theseventuresdi
dnot
restorethecompany’spro�itability.In January 2012 the New
York Stock
Exchange (NYSE) suspended trading of Kodak stock following
the
company’sannouncementthatKodakanditsU.S.subsidiarieshad�il
edfor
Chapter11reorganization.InFebruary2012theNYSEremovedtheen
tire
classofthecompany’scommonstockfromitslistingandregistration.
Itischallengingtoconvinceanorganizationtochange,particularlyw
hen
thingsaregoingwell,asthingsdidformany years for both
Blockbuster
andKodak.Evenwhencompaniesrecognizetheneedforchange,thepr
ocessiscomplexandchallenging,and most
effortsdonotsucceed.Infact,changeoftenfailstomeetitsintendedout
comes(Grif�ith,2002;Kogetsidis,2012;Self,
Armenakis,&Schraeder,2007).Some have estimated that 50% of
all change efforts fail (Quinn, 2011, and others
estimatethefailurerateevenhigher,atnearly70%(Balogun&HopeH
ailey,2004;Burnes&Jackson,2011;Higgs&
Rowland,2000).Simplyput,organizationsarenotverygoodatplanni
ngandimplementingchange.
Thepurposeofthischapteristoexploreorganizationchange.Wewilli
dentifyavarietyoftypesofchange,discussthe
systemsapproachtochange,examinelevels of change, and

compare and contrast change models. Let us begin by
consideringthenatureofchange.
2.1TheNatureofOrganizationChange
Change is the alteration or complete transformation of people,
processes, products, and places. As you know from
your own experience, change may be impermanent, transitional,
and even reversible (such as moving to a new city,
then perhaps moving home again) or permanent and
transformational (such as getting a college degree or
experiencing the death of a loved one). Organizations, too,
experience changes that can be subtle or
transformational, temporary or permanent. Managing change
effectively is considered a core competence of
successful organizations (Burnes, 2004).
ThreeCategoriesofChange
There are several ways to classify change. Cao, Clarke, and
Lehaney (2004) suggested change may be according to
organizational function, process, culture, or power distribution.
Senior (2002) took a different approach, organizing
types of change according to three categories: (a) rate of
occurrence, (b) how it comes about, and (c) scale.
RateofOccurrence
Change happens at varying paces. Often it is discontinuous and
episodic. There is only one event or episode of change
that makes a signi�icant break from what has gone on before.
Examples of discontinuous or episodic change might
include a natural disaster, economic cycles of recession and
expansion, or something more personal like the onset of

illness or a one-time change in work.
The opposite of discontinuous or episodic change is continuous
change—an ongoing process of shifts that can lead
to signi�icant alterations over time. People experience
continuous change with technological innovations. Just a few
years ago, the idea of a smartphone seemed far-fetched, yet
today they are widely owned. Continuous change is also
prevalent in health care, where new drugs and treatments have
prolonged life—at least in industrialized countries.
HowChangeComesAbout
Another way of describing change is the way in which it occurs.
Planning is one way that change comes about,
particularly in OD. Change can also be unexpected, without
planning. This might also be considered evolutionary
change, which happens gradually and amounts to substantial
shifts over time. Organizations may be involved in
continuous improvement projects that gradually result in the
adoption of new technologies and improved
management practices such as participative management or
organization learning.
Change may also come about due to contingency—when
organizations are forced to respond to unique,
unanticipated variables that require special action and changes.
For example, lacking a necessary raw material
might require emergency alterations to product design. Another
way change comes about is via choice.
Organizations can choose what changes to make, such as
deliberately deciding to change their leadership style.
ChangeAccordingtoScale
The scale of change ranges from moderate ongoing changes at a

department level to wholesale transformation of the
organization culture. Revolutionary change, although much less
common than evolutionary change, represents a
shock to the system that alters it permanently. The terrorist
attacks of September 11, 2001, created revolutionary
change in Americans’ national identity and sense of safety, as
well as signi�icant changes in air travel. Another
revolutionary change was the economic downturn of 2008 and
its consequences. These changes forced both
individuals and organizations to adapt.
©JohnHarper/Corbis
Applewasabletotransformitselfintoone
ofthemostimportanttechnology
innovatorsofourtime.
Developmental,Transitional,andTransformationalChange
Change is one of those words that serves as a melting pot for
scores of concepts and methods. Like the Inuit
expression for snow (of which there are 20 or more shades of
meaning), change means many different things to
us. (Ackerman, 1997, p. 45)
Ackerman (1986) characterized change as developmental,
transitional, or transformational. Developmental
change is the growth and learning people experience as they
acquire new skills, manage relationships, and take on
new challenges. This type of change might involve problem
solving, work assignments, con�lict resolution, group
dynamics, team building, meeting management, role
negotiation, survey feedback, or training.
When people make incremental steps toward a preferred status

over a speci�ied period, they are making a
transitionalchange. Transitional change includes increasingly
using a device like a smartphone or gradually
reducing calorie intake in order to lose weight. On an
organization level, transitional change might occur through
reorganization, technology integration, new product
development, mergers or acquisitions, or globalization.
Transitional change seeks to accommodate the new state while
maintaining functionality during the conversion.
Employees usually view this change as a disruption in standard
operating procedures. For example, a large public
university recently switched the platform for its online courses.
The change began with an informational campaign.
Then, over two semesters, faculty could volunteer to be early
adopters of the technology. During this phase the early
adopters provided feedback to the information technology
department to help the entire organization fully
transition to this new technology. This strategy enabled the
university to continue to deliver online learning in both
the old and new formats while the technology was still in
development. The entire university was then able to
change to the new platform the following year.
A change that revolutionizes the organization and the ways its
members think and act is known as
transformationalchange. Transformational change is generally
not reversible, because processes, behaviors, or
beliefs become fundamentally different from those that
characterized the previous state. Transformational change
may be due to crisis, leadership transitions, culture or strategy
alterations, dramatic shifts in markets, or executive
coaching.
Some companies have managed to transform themselves and
stand

the test of time. IBM transformed from a mainframe computer
company into one that makes software, personal computers, and
storage solutions. Apple started as a transformational company:
In
a market dominated by large, unsightly computers with complex
software and awkward user interfaces, it introduced small, user-
friendly Macintosh computers with aesthetically pleasing
designs.
Apple gained an ardent fan base, but as its competition caught
on, it
almost faded into obscurity. Then, under the leadership of Steve
Jobs, the company underwent a series of transformational
changes
that transformed our relationship with personal digital assistants
via the iPad, iPhone, and iPod. Transformational change usually
requires a charismatic leader who inspires others with a vision
to
achieve the desired change and willingness to take risk.
First-andSecond-OrderChange
Change in OD has been historically classi�ied as �irst order
and second order. When individuals simply alter the
intensity, frequency, or duration of a behavior but otherwise
continue doing more or less what they have already
been doing, they are making a �irst-orderchange. For instance,
Jordan might decide to increase his exercise
CathyKeifer/iStock/Thinkstock
Justasacaterpillartransformsintoa
butter�ly,sotooissecond-order
changeanirreversibleprocessthat
alterswaysofbeing.

sessions from once to twice a week. Or a management team
might decide to communicate monthly instead of
quarterly about organization issues.
First-order change is considered easy to implement and readily
reversible. It does not require new learning, so it is
usually impermanent. Jordan might decide to go back to once-
weekly exercise sessions or to slack off on his regimen
all together. Or management may later decide to communicate
less frequently and implement that change easily.
Early OD focused on �irst-order change that involved moderate
adjustments to the organization, people, and
processes. These interventions were largely individualistic; that
is, practitioners modi�ied aspects of individuals’
behavior, believing that these individual changes would
translate into organization effectiveness. This mindset
caused OD consultants to overlook the big-picture, systemic
issues affecting the organization. As a result, early OD
often was ineffective.
Radical change that alters thinking, behaviors, or processes in
irreversible ways is known as second-orderchange.
This level of change requires a fundamentally different
approach to issues, as well as new learning. It is generally not
reversible and tends to be revolutionary or transformational. For
example, rather than simply increasing his number
of weekly exercise sessions, Jordan might meet with his doctor
to assess his overall health, get up earlier each day to
exercise, hire a personal trainer to work with him, consult a
registered dietitian, take a healthy cooking class, or
otherwise alter his mindset about exercise and health. Or,
management might restructure or fundamentally change
how it communicates, altering not only the frequency but also
the content and delivery mode. The rise of online
social networking offers an example of how organizations have

new platforms for communicating. Platforms such as
instant messaging, Twitter, wikis, social networking,
teleconferencing, e-mail, and collaboration apps (e.g.,
Basecamp) have radically changed the way employers,
employees, and customers communicate, and have also made
information more timely and comprehensive.
Contemporary OD, in its quest to change systems and cultures,
focuses on
second-order change. Examples include executive coaching that
transforms a leader’s behavior, performance feedback that
improves
individual and group performance, leadership development that
shifts
how leaders think and act, group and team facilitation that
revolutionizes
interpersonal dynamics, diversity and multiculturalism
initiatives that
make the organization more inclusive, total quality management
that
improves products and services, life–work balance programs
that reduce
stress, or organization restructuring that changes work
processes.
What �irst- and second-order changes have you made in your
life? How
successful were you at maintaining them? What changes have
you
noticed in your workplace? How effective are you at helping
others
change? Take the change leader style assessment to evaluate
yourself.
Assessment:WhatIsYourOwnChangeLeaderStyle?

Take this self-assessment to gain insight into your change style.
The survey covers 60 attitudes and
behaviors of leaders related to change management. It should
take about 20 minutes to work through the
assessment.
http://www.careacademy.org/ChangeManagement/Session3/Cha
ngeStyleAssessment/Managing
Change- Your Style Assessment.pdf
(http://www.careacademy.org/Change Management/Session
3/Change
StyleAssessment/ManagingChange-YourStyleAssessment.pdf)
http://www.careacademy.org/Change%20Management/Session%
203/Change%20Style%20Assessment/Managing%20Change-
%20Your%20Style%20Assessment.pdf
It is dif�icult to create change within an organization. In the
video, a manager encounters resistance from his team when
introducing a change in work systems.
OperationalandStrategicChange
When organizations make shifts that affect day-to-day
functioning or operations, they are making an operational
change. Examples include shifting the production schedule to
accommodate supply of raw materials, hiring
temporary workers to help cover a short-term increase in
product demand, adding overtime to meet production
numbers, problem solving around a quality issue, or creating a
newsletter to better communicate with employees.
TipsandWisdom
Notice the signs of approaching change: Pay attention to your

organization and the environment.
What do you notice, hear, and suspect?
Ask yourself: “What is the worst thing that could happen if
change X occurs?” Acknowledge that
the only thing you control is yourself. How do you want to show
up during the change?
Look for opportunities within the change to think differently,
take on new responsibilities, and
learn new things.
Help others cope. It will help take your mind off the uncertainty
and position you as a leader.
When the organization shifts its tactics to better achieve its
mission and vision, it is making a strategic change.
Strategic changes might include shifting the culture,
management, and rewards systems to be more inclusive as a
means of recruiting and retaining a diverse workforce; �iring
an executive and bringing in a person with a track
record for business turnarounds; hiring workers to pursue a new
market, product, or service; realigning people and
resources to focus on a goal of becoming number one in sales or
quality; or conducting a new marketing campaign
to reach new customers.
Whether operational or strategic, change can be stressful, but
strategies exist for coping with change.
AcceptingChange
TakeAway2.1:TheNatureofOrganizationChange
There are several ways of describing the nature of change in
OD, which is the alteration of the
complete transformation of people, processes, products and

places.
Change can be classi�ied according to (a) its rate of
occurrence, (b) how it comes about, and (c) its
scale.
OD can focus on �irst- or second-order change. First-order
change is a gradual or incremental
change that usually involves making moderate adjustments to
existing procedures and practices.
Second-order change signi�icantly and irreversibly alters
thinking, behaviors, or processes.
Developmental change is associated with the growth and
learning people acquire through
experiences and formal education or training. Transitional
change involves making incremental
steps toward a desired state over a speci�ied period.
Transformational change revolutionizes the
organization and the ways its members think and act.
Change can be operational or strategic. Operational change
involves shifts that affect day-to-day
functioning or operations of the organization. Strategic change
involves more revolutionary shifts
in tactics to better achieve organization mission and vision.
Accepting Change: Cutting Edge Communications Comed...
© Infobase. All Rights Reserved. Length: 04:45
2.2GeneralSystemsTheoryandOrganizationChange
Chapter 1 established OD as a data-driven, humanistic process
that seeks to foster the health and effectiveness of
individuals, groups, the organization, and the broader

community. OD is concerned with how change is integrated
within an organization; that is, OD studies the ways in which an
intervention in one area might affect another area.
In other words, OD is concerned with the entire system.
Freedman (2013) explained the value of this concern with the
system:
Organizations bene�it when their leaders think and act
systemically. Systems-oriented leaders consider
organizational changes in the context of the total system and its
interactions with its environment, rather than
merely focusing on the primary element that attracts critical
attention. By thinking and acting systemically,
leaders focus their attention on the interactions among the
interdependent parts and levels of their
organizations . . . [making them] more likely to set realistic,
comprehensive goals and establish viable strategies
and plans for change. (p. 411)
Many changes are localized when they affect only parts of the
system. Medical specialties exist to treat parts of the
body system. Yet treating disease in one system can be
problematic when the impact on the body as a whole is not
considered. This is also true in organizations in which a change
might be made to a section of a manufacturing
assembly line without considering how it might affect
manufacturing at other points along the line. Another
example is when there is a change in raw materials that
negatively impacts the �inal product. OD is different from
other more localized interventions in that it takes the total
organization system into consideration.
GeneralSystemsTheory
Thinking and acting systemically about organizations originated

with Ludwig von Bertalanffy’s general systems
theory, or GST (1950, 1968). Katz and Kahn (1978) called it a
social systems approach. Also known as systems
thinking, systems design, system dynamics, or holism, GST
views the organization as a system of interconnected,
interdependent subsystems. These subsystems might be people,
technology, processes, the external environment,
competitors, government, customers, and other stakeholders.
GST views the organization as drawing inputs from
the outside world and transforming them into products and
services.
Von Bertalanffy (1950, 1968) contended that the primary
purpose of an organization is survival. He regarded
organizations as perceived wholes with interdependent
components that affect each other over time and help
advance the system’s purpose. He identi�ied systems as having
�ive fundamental elements:
1. Semipermeableboundaries �ilter inputs and outputs across
the organization’s borders and separate its inside
from its outside. Boundaries are not just physical spaces like
the walls of the building, but also subject to
time and social construction in terms of the organization
beliefs, history, values, and leaders. Systems can
also exist within systems. For example, our solar system is
distinct from the rest of the Milky Way galaxy and
has changed over the billions of years of its existence. An
organization today is distinct from that same
organization last year.
2. Inputs represent the raw materials and resources needed from
the external environment for the
organization to produce its outputs (goods and services). Inputs
include a quali�ied workforce; market data
pinpointing customer requirements for goods and services;

prevailing political, economic, regulatory,
technological, and social trends; competition; raw materials;
capital; and information.
3. Throughputs entail the transformation of inputs into goods
and services (outputs). Throughputs involve the
line production of goods and services (e.g., an assembly line
that manufactures vehicles) as well as support
functions that indirectly contribute to the production of goods
and services, such as human resource
management or �inance. A modi�ication in throughput usually
stimulates signi�icant change in the
organization.
APPhoto/CarlosOsorio
Rawmaterialsundergo
thethroughputprocessin
theirjourneyfrominput
intothefactorytooutput
asvehicles.
4. Outputs represent the goods and services produced by the
organization and demanded by customers.
Ancillary outputs include wages and salaries employees spend
and contribute to their local economies.
Outputs also include waste, recycling, and dividends to
stockholders.
5. Feedbackloops provide information to the organization about
how well the system components are meeting
needs and expectations. Feedback loops are negative or positive
and signi�icantly impact a system’s behavior
(Größler, Thun, & Milling, 2008). These loops might include
relationships between subsystems or the

relationship between one of these �ive system elements. When
the organization falls out of equilibrium,
feedback loops can help leaders �igure out how to get the
organization back on track. Figure 2.1 features a
diagram of an organization system.
Figure2.1Diagramofanorganizationsystem
This�iguredepictsasimplesystemmodelthatshowshowinputs
orresourcesareintroducedtoasystemandaretransformed
duringthethroughputprocessandreleasedasoutputsinthe
formofgoodsorservices.Theprocessiscontinuous,andthe
outputinformsfutureinputthroughafeedbackprocess.
Consider your experience as a college student as an example of
a system.
Semipermeable boundaries might include the community where
the university is
situated and its history. Other boundaries might be through
social networking,
sports teams, or other extracurricular activities that connect the
university to the
outside world. Your inputs might be the courses you take, the
quality of your
instructors, the books you read, and the experiences you have.
When these are put
into your system and become throughputs, particularly through
learning processes,
they transform into accrual of new knowledge and skill. The
output might be a paper,
insight, or project. Feedback loops happen via relationships you
have with professors
and peers, grades you receive on papers, and ultimately,
meeting the requirements
for graduation and attaining a degree.

Automotive manufacturing is another example of a system.
Semipermeable
boundaries include the community where the plant is
headquartered, the industry,
market conditions, and the economy. Inputs include design,
steel, computer systems,
and so forth. These inputs become throughputs, which transform
during
manufacturing to become outputs (vehicles). Feedback loops
include whether the
vehicle meets quality standards, achieves favorable external
rankings, generates
sales, and captures return customers.
Think of other systems you belong to and see if you can identify
the �ive elements:
1. semipermeable boundaries
2. inputs
3. throughputs
4. outputs
5. feedback loops
TipsandWisdom
An organization is a totality, a whole system with interacting
parts or components. To alter a part of the
system may represent a change in the organization, but it is not
necessarily OD. Change can occur at
different points in an organization. For instance, a company
might change its order intake process. The
change to order intake procedures does not become OD unless it
is considered in terms of its impact on the

entire system and embraces OD philosophy and steps of action
research.
TheWholeIsGreaterThantheSumofItsParts
When systems theory is applied to OD, it means the larger
system is taken into account at all times. For instance, if
managers are put through a leadership development program,
how will their new knowledge and behaviors affect
their subordinates? The vignettes about Blockbuster and Kodak
at the beginning of this chapter show how the
companies ignored the broader systems of their business and
lost their competitive edge.
ChangeReadiness
Life and work are characterized by constant change. OD
considers change from the system view. Systems will not
change when readiness is nonexistent. Part of the OD process is
facilitating readiness of individuals, groups,
WhoInventedThat?TheNotionofaSystem
Greek philosopher Aristotle originated the adage “The whole is
greater than the sum of its parts.”
Aristotle’s quote has great signi�icance for understanding
system dynamics. It means that system parts
have synergy when working together that they lack when they
are separate. System parts are
interdependent and work together to create something special
like a body, solar system, or car. Aristotle’s
wisdom captures the understanding that parts may be
nonfunctional when separate but create the system
when combined. For example, the separate systems of the
body—cardiovascular, respiratory, digestive, etc.
—only sustain an organism when they work together. Similarly,

a bunch of car parts scattered about a
garage does not make a car until the parts are combined to form
the system of a vehicle. Simply reading
books will not make someone a college graduate. The same
principles operate in groups. The output of a
coherent group is likely to be higher than that of its members
working in isolation.
Within the system of an organization, if employee turnover
increases, it is not enough to provide more
training to existing workers. The product, employees,
management, work environment, competitors,
response time, training, transportation, and other variables must
be considered to understand what other
system factors might be affecting turnover.
organizations, and systems.
Although this book’s focus is organizations, sometimes it is
easier to relate to the process of change when we think
about it in our own lives. When we undergo change, we may
experience crises of identity, relationship challenges, or
worries about making a difference. In fact, a change in one area
of your life can affect others—in essence, changing
your personal system. Imagine you move to a new city.
Suddenly your relationships, work life, and recreational
options have all changed, which alters your life system.
In OD the changes that occur within the organization system
often reverberate in your personal life. Change, in OD
terms, is not something that happens to you. Rather, it is an
intentional process that seeks to improve something in
the organization, since it is a planned change. You can take
steps to prepare yourself for change. Let’s start by

assessing your readiness for it.
Assessment:ReadinessforChange
William Bridges has written several books about the change
process on both personal and organization
levels. How ready for change are you? Take his assessment and
evaluate yourself:
http://www.wmbridges.com/articles/assessment_tools.html
(http://www.wmbridges.com/articles/assessment_tools.html).
Table 2.1 offers a comparison of typical changes most people
face at one time or another in life and at work;
compare these to your own experience.
Table2.1:Typicallifeandworkchanges
Typicallifechanges Typicalworkchanges
Leaving home for the �irst time
Becoming a college or graduate student
Falling in love
Leaving a relationship
Losing a loved one
Awakening to a cause
Experiencing a change in �inancial
circumstances
Traveling abroad
Reorganizing or downsizing
Receiving a promotion
Experiencing new colleagues or leaders
Repositioning business to be more
competitive
Becoming global
Altering our behaviors

Merging with or acquiring other businesses
TakeAway2.2:GeneralSystemsTheoryandOrganizationChange
OD is more effective when it takes the entire organization into
account to understand how changes
might reverberate throughout the organization. The systems
framework for understanding
organizations originated with the development of general
systems theory, or GST.
In keeping with Aristotelian philosophy, it is worth
remembering that “the whole is greater than
the sum of its parts” when systems are created and altered.
http://www.wmbridges.com/articles/assessment_tools.html
Both individual and organization readiness to change can vary
as people navigate the many
changes presented in their personal and work lives.
2.3LevelsofChange
As discussed, change might be very personal or might affect an
organization or even an entire community. This
section examines changes typical of the individual, group, and
organization levels and explains when they constitute
OD.
IndividualChange
Change that involves activities related to employee staf�ing,
training, or coaching is individualchange. Although
individual change efforts are often not OD, they become so

when implemented to help the organization system
change or adopt a new direction. There are three types of
individual OD changes.
Staf�ingandTalentManagement
Burke (2014) noted that activities related to the recruitment,
selection, replacement, and displacement of workers
are fundamental to assembling a team of the right people to help
achieve the organization’s change initiative. This is
known as staf�ing (or talent management). Think about your
own experience of change in an organization. How
often were the players changed in order to implement a new
direction? Losing football teams recruit new players
and replace old coaches, growing schools select and retain new
teachers, and failing businesses displace and replace
the management.
TrainingandDevelopment
Training and development activities can also be classi�ied as
individual-level OD when they advance systemic
organization change. As mentioned in Chapter 1, training is a
costly intervention and should only be conducted
when it clearly addresses a problem or desired change. Training
is probably an OD intervention when it is used for
management and leadership development to reposition the
organization strategically or culturally or to train
employees around a total quality implementation that changes
how groups interact, problems are solved, and
quality is ensured. What types of training have you
experienced? Would you classify them as OD?
Coaching
A third individual OD intervention is coaching. Coaching aims

to identify and improve dysfunctional behaviors that
prevent employees from having productive relationships in the
organization (Corbett & Colemon, 2006). Just as the
other individual interventions pro�iled here, coaching is not
OD unless it is tied to a broader organization change
effort. So when coaching is used for an individual who has very
nonproductive behaviors that negatively affect the
work team, that is not OD. Coaching becomes an OD
intervention when the organization commits to a strategy such
as participative management and provides it to all managers to
help them make a cultural and leadership shift.
IndividualResponsestoChange
This section has pro�iled three individual change interventions
and shown when they become OD. Whenever we are
tasked to change, we experience a range of emotions and
responses, including resistance and coping (Anderson,
2012). Hall and Hord (1984, 2011) developed a model to
illustrate the concerns individuals have when experiencing
change. According to their model, people experience a hierarchy
of concerns. Each stage of concern must be resolved
before a person can move to the next stage of implementing
change.
JLP/JoseL.Pelaez/Corbis
Effectivelyrespondingtochange
involvesaddressingemployee
concernsthroughouttheprocess.
Hall and Hord’s (2011) model (see Table 2.2) identi�ies seven
stages of
concern (numbered from 0 to 6) associated with implementing
change.

Stage 0 is unconcerned. If you are unaware of an impending
change, you
will not have any apprehension about it. So the model only
becomes
relevant once there is awareness of change. The �irst two levels
of the
model relate to how the change will affect the self. If we
become aware
that a new software program is being implemented, usually the
�irst
thing we want to know is “What is it?” With this inquiry we
move into
Stage 1, learning information about the change. Stage 2 relates
to
personal concerns. Now that we have more information about
the change,
we begin to wonder, “How will it affect me?” Next, in Stage 3
we become
concerned about the task or management of the change. “Will I
have time
to do this?” “Will this slow down my work?”
The next three stages pertain to the impact of the change. Stage
4
concerns are about the consequences of the change on other
people in the
system. We wonder, “How will this new software affect work
�low, scheduling, customer service, and response time?”
Once these concerns are resolved, we are ready to move on to
Stage 5, collaboration. At this point, most of our self
and task concerns have been resolved, and we begin integrating
the change into our daily lives. Collaboration
involves working with colleagues on how to integrate the
change. We might ask, “How can we work together to use
this new software to improve scheduling?”

Finally, we are ready for Stage 6, refocusing. This level of
concern is aimed toward building on the change and
perhaps improving it or moving on to new issues. You might
hear, “Now that the software has so revolutionized
scheduling, what other processes can we automate?”
Table2.2:HallandHord’sstagesofconcernmodel
Concern
clusters
Stage
number
Stageofconcern
Impact 6 Refocusing
You focus on exploring more universal bene�its from the
change, including the possibility
of major changes or replacement with a more powerful
alternative. You have de�inite
ideas about alternatives to the proposed or existing form of the
change.
5 Collaboration
You focus on coordination and cooperation with others
regarding the change.
4 Consequence
You focus on the impact of the change on others within their
immediate sphere of
in�luence. Concerns relate to the relevance of the change for

employees, evaluation of
outcomes, and changes needed to improve outcomes.
Task 3 Management
You focus on the processes and tasks of using the change and
the best use of information
and resources. Issues related to ef�iciency, organizing,
managing, scheduling, and time
demands are utmost.
Concern
clusters
Stage
number
Stageofconcern
Self 2 Personal
You feel uncertain about the demands of the change, your
adequacy to meet those
demands, and your role with the change. You may be
questioning the change and your
role as it relates to rewards, organization structure, and decision
making. You might
consider potential con�licts with existing structures or personal
commitment. Financial or
status implications of the program for yourself and colleagues
may also be re�lected.
1 Informational

You are generally aware of the change and interested in
learning more about it. You are
not worried about yourself in relation to the change, but rather
curious about the change
characteristics, effects, and requirements for use.
Unrelated 0 Awareness
Little concern about or involvement with the change is
indicated.
Source:AdaptedfromHall&Hord,2011.
GrouporTeamChange
Chapter 1 established that groups and teams do the primary
work of the organization. When the change
implemented involves activities related to action learning, team
building, or network formation, it is a groupor
teamchange. Groups are very important because they (a) create
the context for which individuals experience the
organization, (b) represent the interface between the individual
and the organization, (c) bound the primary social
relationships people experience in the organization, and (d)
determine employees’ perceptions of the organization
(Burke, 2014).
Consider, for example, that you are on the board of a nonpro�it
organization. The board—which is �iscally and
strategically responsible for the organization—creates the
context (leadership) and the relationships you
experience with the other board members, volunteers, donors,
and bene�iciaries of the nonpro�it’s program. The
social experiences in the organization range from business
meetings to fund-raisers, and these experiences
determine how members perceive the foundation—which is

likely different for each member.
Distinct types of group or team OD initiatives include action
learning, team building, and networks.
ActionLearning
Chapter 1 de�ined a learning organization as a strategic
commitment and infrastructure to capture and share
learning to improve the organization. A common way to achieve
this culture is to apply a cycle of re�lection and
action on problems that plague groups and teams. This is known
as actionlearning.
Action learning is a process of addressing the team’s real
problems, in real time, in the real workplace. So if the team
experiences interpersonal con�lict, rather than send members to
an off-site training on con�lict resolution, an action
learning approach would engage members in re�lection and
dialogue about the con�lict, much like a T-group. A
course of action would be decided collectively (for instance, to
follow ground rules during meetings or avoid taking
things personally). The new action would be tried for a time,
and then the team would reconvene to re�lect on how it
©ZeroCreatives/ImageSource/Corbis
Effectiveteamshavecleargoalsand
priorities.
worked and commit to new action. The process is ongoing and
helps build a culture of learning within the
organization.
TeamBuilding

Since groups and teams are so fundamental to achieving the
work
and goals of an organization, it is desirable for them to function
at a
high level, set goals, have clear norms and roles, and build
strong
interpersonal relationships. Activities to enhance team
functioning
are known as teambuilding. Team building serves four purposes:
1. to establish goals or priorities;
2. to determine roles and responsibilities;
3. to examine group process (norms, decision making,
communications); and
4. to examine interpersonal relations (Beckhard, 1972).
Beckhard (1972) viewed this listing of purposes as hierarchical.
For instance, if goals are not clear, there will be problems in the
succeeding three areas (roles and responsibilities, group
process,
and interpersonal relations). A common mistake in team
building is
to assume that interpersonal relations need intervention, when
they can usually be addressed by the �irst three
purposes. Team building is an OD intervention when the work
of the team supports making an organizat-ion change.
NetworkFormation
Groups of employees that band together to support one another
are known as a network, in-company network, or
af�inity group. It is common for groups that share gender, race,
or sexual orientation to assemble to strategize and
collectively represent group interests. These networks form in

order to serve as a collective voice, raise awareness
about their issues, and create mutual support. Network
formation is OD when it is linked to an organization strategy
such as becoming more diverse and inclusive.
GrouporTeamResponsestoChange
The more that work units in the organization are involved in
helping to plan and implement change, the more
they are likely to embrace rather than resist the organization
change. Resistance by organizational groups, on
the other hand, can take at least four forms. (Burke, 2014, pp.
120–121)
These four forms include:
1. Turf protection and competition: Different groups become
secretive, are unwilling to share information and
resources with other groups, and compete for things like
budgets, the best employees, and so forth.
2. Closing ranks: A group will close in on itself and refuse to
work with others or join ranks with other groups.
3. Changing allegiances or ownership: A group may seek to
separate from the organization as a means of
avoiding change.
4. The demand for new leadership: At times the change situation
may warrant a new leader. Just as often,
though, calls for new leadership are a diversion tactic to attempt
to put off change.
Helping groups cope with change is similar to helping
individuals, as discussed in the stages of concern model. Most
people have concerns that must be addressed before they can

fully embrace the change. Additionally, the group will
bene�it by closure activities such as conducting a “funeral” for
past ways of operating and then celebrating the new
change. It is also productive to provide a platform for people to
share their feelings about the change. It can be useful
to take the group to an off-site location to engage in problem
solving related to change implementation. Creating
new group compositions may also be helpful and even necessary
for the group to transition successfully through a
change process (Burke, 2014).
OrganizationorSystemChange
Change rarely begins at the organization or system level,
especially if the organization is large (Burke, 2014).
Instead, organizationorsystemchange typically originates with
individuals and groups or teams around training
or strategic plans that incorporate change. Alternatively, change
may begin within a subsystem of the organization.
For example, one division may try new practices in a
manufacturing process and, if successful, promote the change
to other divisions.
OD consultants may also intend change to be rolled out to the
organization, but usually large changes are piloted
with small groups �irst and then extended across the
organization. For example, a mentoring program might be
piloted with a certain group of employees, modi�ied, and then
expanded.
Organization or system change can also involve multiple
interventions that would be implemented gradually. For
example, a change to increase the diversity and inclusion of the

organization might involve recruitment and
retention practices, rewards systems, leadership development,
and sensitivity training.
OD is key to successful organization or system change because
it provides a planned process to implement the
change as well as a value system geared toward employees’
participation and involvement, which helps support the
change. Three examples of organization- or system-level change
include survey feedback, large-scale interventions,
and mergers and acquisitions.
SurveyFeedback
As discussed in Chapter 1, survey feedback is an organization-
or system-level change in which members of the
entire organization are surveyed about the climate, the
management, and their overall satisfaction. This information
is then analyzed, and the results are shared with employees in a
series of feedback meetings. During these, the
results are processed and a set of action items are determined.
This type of intervention impacts the organization as
a whole in multiple ways and is effective when trying to
improve or change the culture. It was one of the earliest OD
interventions and is widely used today to provide data to justify
change.
Large-ScaleInterventions
Imagine a company bringing its top 100 executives together to
examine its mission. This type of activity is known as
a large-scaleintervention and entails assembling a strategically
important, large group within the organization to
problem solve, plan strategy, or revise mission statements.
These types of interventions have also been used by the
entire organization to create shared vision in a collaborative,

participative manner. Conducting a large-scale
intervention requires careful planning and attention to logistics,
but it can be very impactful for activating change.
MergersandAcquisitions
Much system-level change occurs as a result of mergers and
acquisitions, when the organization is forced to make
changes to integrate separate cultures. Companies merge when
it becomes advantageous to share resources and
�ind cost-effective ways to operate. Yet smoothly merging two
separate organizations is dif�icult. These types of
interventions often fail when employees do not understand the
organization’s goals. They also suffer when power
and expertise imbalances prevail, there is a lack of realistic
understanding about the success of the merger and a
lack of perceived equity, and there are no contingency plans
(Burke, 2014).
SeanDeBurca/Corbis
Theabilitytoclearlycommunicate
changingoperatingproceduresis
crucialtoovercomingemployees’
resistancetochange.
OrganizationorSystemResponsestoChange
Burke (2014) identi�ies �ive ways organizations or systems
resist change and offers suggestions to combat them.
First, the organization’s effort to revolutionize may devolve to
evolution. This means that the ambitious efforts to
change, perhaps by merging businesses or entering new markets,
result in the adoption of a few changes, but the
original culture remains intact. Such an outcome can be

prevented by involving affected employees at the beginning
of the process so they have input and a sense of ownership, and
understand the reasons for the change.
A second response is when the organization fails to develop a
sense of urgency to change. People resist by
questioning, “Why change?” Or they adopt an attitude of, “If it
ain’t broke, don’t �ix it.” Employees may lack
motivation or be skeptical of the change. Such responses can be
avoided if the organization achieves closure on the
previous ways of operating. For example, a session that
identi�ies the old operating procedure’s challenges may help
those affected see the advantages of shifting to a new
procedure. In addition, management needs to make a
compelling case for change and ensure that organization
members are actively involved in making the change.
A third way organizations resist change is when their employees
assume
they have “been there, done that” and chalk up the change effort
to
another attempt to do the same old thing. To prevent this
resistance,
leaders need to show how this change effort is different and
why there is
a compelling need for it. They also need to demonstrate that the
organization is committed to making the change over the long
term.
A fourth way organization members may respond to change is
by
creating diversionary tactics that demand resources and time
that would
have otherwise been devoted to the change. People might also
complain
about the change’s timing or that they lack the resources to

implement it.
This form of resistance requires management to pay attention to
and
defuse or redirect efforts that divert individuals, groups, and the
organization from fully implementing the change. Ensuring the
ready
availability of resources necessary to implement the change also
helps
avoid this type of resistance.
Fifth and �inally, organizational resistance to change can take
the form of refusing to follow the leader. This usually
involves employee collusion. These behaviors require
leadership to be steadfast in its commitment to the change
and set clear expectations around supporting it across the
organization. Saboteurs must also be dealt with swiftly
and strictly (job changes, retirements, or severance).
TakeAway2.3:LevelsofChange
Organization change generally occurs on one of three levels:
individual, group or team, or
organization or system.
Examples of individual change include staf�ing and talent
management, training and development,
and coaching. Individuals more readily accept change when
their concerns about how the change
will personally affect them are addressed.
Examples of group and team change include action learning,
team building, and network
formation. A key to helping teams and groups embrace change
is to have them participate in its
planning and implementation.
Examples of organization and system change include survey
feedback, large-scale change, and
mergers and acquisitions. Change at the organization or system

level is the most complex, and
several forms of resistance can occur during implementation.
Management and OD consultants
need to pay close attention and intervene quickly when
organization change begins to derail.
2.4ModelsofChange
This section introduces �ive models by which OD practitioners
promote lasting, effective organization change.
Lewin’s3-StepChangeModelandFieldTheory
Lewin, regarded as “the intellectual father of contemporary
theories of applied behavioral science” (Schein, 1988a,
p. 239) made signi�icant contributions to what is known today
as OD, including originating the �ield of group
dynamics and creating action research. He also designed a 3-
step model for creating successful change and invented
�ield theory—a process of mapping change.
Lewin’s3-StepModel
Lewin’s (1947) 3-step model of system change (Figure 2.2)
depicts change as an ongoing, �luid process of
unfreezing, moving, and refreezing.
Unfreezing is a stage in which people become aware of a need
to change and wish to create a change. One might
think of it as a releasing from the way things were. Unfreezing
may occur due to a crisis, learning, or feedback. For

example, if Jill suffers a heart attack (crisis) she becomes aware
of the need to change her lifestyle. If Morrie receives
negative feedback about his performance, he becomes aware of
a need to improve it.
Figure2.2:Lewin’s3-stepmodelofchange
This�igureshowsLewin’schangemodel,whichgoesthroughthestep
sofunfreezing
(recognizingtheneedforchange),moving(takingactiontochange),a
ndrefreezing
(permanentlyincorporatingthechange).
The stage in which one takes action to change the system is
known as moving. Moving involves both initiating
interventions and providing support to implement them.
Returning to the example of the heart attack, Jill might
enroll in a cardiac rehabilitation program. An organization team
might decide to improve its meeting effectiveness
and commit to learning new methods and taking roles to make
this change. Moving represents the actual process of
changing.
After moving, an organization needs to reinforce the change and
ensure its permanence. This step is known as
refreezing. Just as �itness gained in a cardiac rehabilitation
program needs to be reinforced with daily exercise and
healthy eating, the organization team that adopts improved
meeting management must continue practicing its new
procedures and sharing them with other groups. Changes fail
when they lack infrastructure to support the
movement that has occurred; in this case, conditions are likely
to return to the pre-unfreezing state.
FieldTheory

Lewin viewed change as a complex activity mired in social
context that created tension between initiating the
change and resisting the change. Lewin called the group
environment a “�ield,” noting that individual behavior was a
function of it. Changes in behavior stem from changes in the
�ield. Lewin (1943) noted, “One should view the present
situation—thestatus quo—as being maintained by certain
conditions or forces” (p. 172). These forces function
either to restrain change—and thus reinforce the status quo—or
to drive change. Think about a change you have
experienced at work. What were the forces preventing change?
What forces facilitated it?
Restraining and driving forces affect both individual behavior
and group structure. These forces can be depicted in a
diagram known as force�ieldanalysis. Both driving and
restraining forces impact a change effort. Creating a force
�ield analysis helps illustrate how to maximize forces driving
the change and minimize the forces restraining the
change.
CaseStudy:ImplementingTeamChange
“Meetings, meetings, meetings!” Alex mutters as he looks at his
calendar for the week. “We need to do
something to have fewer, more productive ones if we want to
meet our production goals.”
His colleague, Dave, hears Alex’s lament and strolls over to his
cubicle. “Alex, I feel your pain. I was just
reading a book about improved meetings and think there are
some things we can do to improve here. Plus,
I know that Julie, over in OD, has some tools to help us.”

Dave gives Alex a copy of his book, which Alex reads as he
waits for his �irst meeting of the day—which,
like most, starts late. He runs into Julie on his way to his next
meeting. “Hey, what are you reading?” she
asks.
“Oh, I’m fed up with nonproductive meetings and want to do
something about it,” Alex answers. “I hear you
know some strategies. Can you help?”
Julie, Alex, and Dave meet the next week, and she gives them a
tutorial with some key things they can
immediately do to improve their group meetings. Dave and Alex
decide to invite Julie to their next team
meeting to introduce some ideas.
The entire group suffers from meeting fatigue, and thus are
skeptical when they hear that yet another
meeting is scheduled. However, most group members remain
optimistic that a �ix might be available. After
Julie presents some options, the group reaches consensus on
some things they can try to improve their
meetings. They agree to make changes in how they create
agendas, assign roles, record tasks and decisions,
and evaluate their process. The team realizes its new meeting
agenda is a learning curve but likely worth it
in the long run.
After some practice, trial and error, and adjustments, the team
meetings become shorter, more productive,
and more engaging, since the agendas are thought out in
advance, everyone is more engaged as they take
on roles, and people are more organized about recording action
items and holding each other accountable.
The team members feel they are on to something, although
staying on track requires discipline, since it is

easy to slip back into their old mode of meetings.
The team members also meet resistance when they invite non-
team members into their meetings. This
resistance includes remarks like, “What are you doing?” or
“My, aren’t you all getting a bit formal here?”
Still, the team members persist with their new changes. Other
departments take notice when team
members begin pressuring other company employees to improve
their meetings by being more action
oriented or by adopting roles.
After about a month of trying, the team members meet to assess
how their change implementation is
going. They create a force �ield analysis to evaluate their
progress to date (Figure 2.3).
Figure2.3:Lewin'sforce�ieldanalysis
This�igureshowshowLewin'sforce�ieldanalysiswouldbeusedtoe
valuateateam's
progresstodate.
Schein’sModi�ied3-StepChangeModel
Schein (1987) elaborated on Lewin’s 3-step model by adding
“how to’s” and further detail to make it more
comprehensive. Moreover, Schein observed that the stages
occur rapidly and may overlap, making them dif�icult to
accurately identify.
Stage1:Unfreezing
At Stage 1, Schein (1987) identi�ied three ways unfreezing

happens: (a) discon�irmation or lack of con�irmation, (b)
guilt or anxiety about the problem situation, and (c) creation of
psychological safety to make the change.
First, motivation and readiness to change may arise via
discon�irmation or lack of con�irmation. Employees embrace
change when they perceive a need for it. This perception of
need can be prompted by discon�irmation; for instance, a
manager’s perception of her leadership might be contradicted by
critical feedback from an employee survey. Lack of
con�irmation—for instance, the lack of evidence for a
manager’s belief in his leadership abilities—may also motivate
a change.
Second, guilt or anxiety may drive change. Individuals who eat
an unhealthy diet or fail to exercise may harbor guilt
about their lifestyle because it contradicts their health goals or
self-image. Anxiety over anticipated health
consequences (obesity, heart disease, etc.) may motivate
change. Or a manager may feel guilty for being autocratic
and commit to being more participative.
Third, Schein observed that neither discon�irmation nor
induction of guilt is enough to motivate change. The
creation of psychological safety is key to unfreezing.
Psychological safety means that making the change will not
humiliate others or diminish their self-esteem. OD practitioners
ease this stage by helping those experiencing
change save face and feel safe. This means helping individuals
make health changes by �inding an exercise group in
which they do not feel self-conscious or pointing out a
manager’s skills while also helping him see the need for and
bene�its of change.

Stage2:Moving
Schein modi�ied stage 2, moving, by incorporating two
processes: (a) identifying with new role models; and (b)
environmental scanning. When we identify with a new role
model, boss, coach, or consultant, we develop new views
and perspectives. OD practitioners help clients surface their
own perspectives and learn to appreciate those of
others. This might involve helping the heart attack survivor
connect with other survivors who have successfully
adopted new health behaviors or connecting the manager with a
coach who can provide feedback and perspectives
from others on the manager’s performance.
Scrutinizing surroundings to learn what other leaders or
organizations are doing is known as environmental
scanning. This process can propel us toward change as we learn
new strategies for achieving our goals. The heart
attack survivor might read health-related magazines or journals
or join a support group to learn what other
survivors are doing. The manager might attend conferences,
read management literature, follow management links
on social media, or observe other successful managers and then
implement the best practices discovered.
Stage3:Refreezing
Recall that, in refreezing, people solidify the change and
integrate it into permanent practice. Refreezing is where
changes get integrated into one’s self-concept and understood
by others. The process involves incorporating new
behaviors, habits, and thinking into our repertoire, whether in
life or work. The refreezing process shares
similarities with transformative change and usually relies on
support and feedback from family members or work
colleagues. Refreezing requires patience because it may require

practice with new ideas and time for roles and
behaviors to stick. This is also an important phase for feedback
so adjustments can be made if the change
permanence appears at risk. As Schein noted, the rapidity and
overlapping of the three stages can make them
challenging to distinguish. There may be shifting between
refreezing and the prior two stages until the change
becomes permanent.
These changes can be personal, as in the case of the heart attack
survivor, or professional, as in the case of the
manager. Integrating change is never easy, and some experts
suggest it takes an average of 66 days before new
behavior begins to feel natural (Lally, van Jaarsveld, Potts, &
Wardle, 2010).
Lippitt,Watson,andWestley’sChangeModel
Lippitt, Watson, and Westley (1958) expanded Lewin’s 3 steps
to 5 steps and shifted the terminology from step to
phases. The phases are:
1. Developing a need for change (Lewin’s unfreezing)
2. Establishing a change relationship
3. Working toward change (moving)
4. Generalizing and stabilizing change (refreezing)
5. Achieving a terminal relationship
This model assumes the role of a changeagent, an individual
who acts as a catalyst for the change and has in�luence
over the process. Phase 1, developmentofaneedforchange, is
prompted in one of three ways:
1. A change agent creates awareness of a problem or need for
change. For example, a new leader seeks to
change the culture.

2. A third party sees a need for change and brings it to the
change agent. For example, a customer raises a
quality complaint.
3. The client system becomes aware of a problem, such as
declining revenues and shifting markets, and seeks
the help of a consultant to respond to the problem.
Phase 2, establishingachangerelationship, focuses on creating
collaboration between the change agent and the
client system. This is usually when an OD consultant enters the
picture. In the case of the new leader aiming to
change the culture, a consultant might help the leader engage
with other managers to create a collective vision for
the new culture.
In phase 3, workingtowardchange, Lippitt and colleagues (1958)
suggest three subphases that involve (a) clarifying
or diagnosing the client’s problem via data collection and
analysis, (b) examining alternatives for addressing the
issue, and (c) transforming intentions into actual change efforts,
or implementation. These steps are similar to the
steps of action research.
The fourth phase, refreezing, involves spreading the change to
other parts of the organization and creating
infrastructure to reinforce the change. This phase is most
effective when affected parties are involved in planning
and implementing the change.
In the �ifth phase, termination, Lippitt and colleagues (1958)
advocate ending the relationship between the client
and consultant once the client can independently maintain the

change. The client system becomes capable of
problem solving, taking measures to maintain the changes, and
refreezing.
Bridges’sTransitionsModel
In his books Transitions(1980) and
ManagingTransitions:MakingtheMostofChange (2003), Bridges
points out
that people often erroneously equate change with beginnings,
but it is really about endings. “It isn’t the changes that
do you in, it’s the transitions. . . . Change is situational. . . .
Transition, on the other hand, is psychological” (Bridges,
2003, p. 3). People get stuck hanging on to the end and
therefore cannot move toward change. Bridges (1980)
explains, “We have to let go of the old thing before we can pick
up the new—not just outwardly, but inwardly, where
we keep our connections to the people and places that act as
de�initions of who we are” (p. 11).
Benetton:ACaseStudyinFailedTransition
Bridges (2003) recounts the story of Benetton, a large Italian
clothing �irm that planned to diversify its business in
1999. It spent almost $1 billion acquiring some top sporting
goods companies (Nordica, Kästle, Rollerblade, Prince,
and Killer Loop) with the idea that it could cross-market these
goods with the workout and postworkout Benetton
clothing line. The �irm erroneously assumed that all of the
acquired companies would relish becoming part of an
international brand, and it combined sales forces and marketing
groups at a new headquarters in New Jersey.
What Benetton did not consider was what drew people to work
in the sporting goods businesses in the �irst place—
their love of the sport. The only way Benetton could lure the

Rollerblade workers to New Jersey from Minnesota, for
example, was by offering them raises, promotions, and a
promise that if things did not work out, the �irm would
move them back to Minnesota. The Rollerblade staff members
were accustomed to spending their lunch hours
skating in local parks near the headquarters. They found
themselves in New Jersey, suddenly reporting to Nordica
representatives and missing their easygoing natural environment
to test in-line skates just outside the door. Soon 21
of the Rollerblade employees elected to move back to
Minnesota.
The transition was managed badly, and Benetton went from
making a pro�it of $5 million to posting a $31 million
loss. What went wrong? Bridges (2003) explains this transition
went badly because Benetton failed to help its
workers navigate three phases:
1. The company did not provide a way for employees to let go
of their old ways and identities. There was a
blunt ending.
2. There was no support for navigating the in-between time
when the old sporting goods company vanished
but the new organization was not fully implemented. Bridges
calls this the neutral zone.
3. There was no clear transition and new beginning that allowed
for workers to establish a new identity as a
Benetton employee or discover a new beginning and sense of
purpose.
Endings

Bridges’s books explore why letting go is so dif�icult.
“Endings begin with something going wrong” (Bridges, 1980, p.
109). When people experience an ending, willingly or
unwillingly, they usually feel disengaged from activities,
relationships, settings, or roles that were previously important.
Bridges (1980) explains, “Divorces, deaths, job
changes, moves, illnesses, and many lesser events disengage us
from the contexts in which we have known
ourselves. They break up the old cue-system which served to
reinforce our roles and to pattern our behavior” (pp.
95–96). Not only did the workers from the various sporting
goods companies get acquired, they also had to relocate,
which signaled a very abrupt end to their work and passion for
their product.
People may also feel lost when they encounter an ending in
ways that shatter how they previously de�ined
themselves—or what Bridges (1980) calls disidenti�ication—
particularly when endings are vocational, perhaps due
to a reorganization or downsizing. Endings can spur an identity
crisis until people are more secure in their self-
identity following a transition. Identity crises do not just
af�lict individuals. Organizations can also lose sight of who
they are, as seen in the stories of Blockbuster and Kodak and in
the case of the newly merged Benetton. People can
also become disenchanted when experiencing an ending:
“separated from the old identity and the old situation or
some important aspect of it, a person �loats free in a kind of
limbo between two worlds” (Bridges, 1980, p. 98).
People can also become disoriented during an ending when they
feel lost and confused and are unsure of where to
go next. The next time you �ind yourself in transition, allow
yourself some time to react to it and remember, you are
going through a natural process of dealing with an ending.

TipsandWisdom
Bridges (2003) offers advice to help people identify their losses
during a change:
1. Describe the change in as much detail as possible.
2. Identify as many “domino effect” changes as you can
(changes that will be caused by the primary
change).
3. Recognize that a chain reaction of changes is occurring for
those affected. Consider who is going to
have to let go of something.
4. Acknowledge that some of the losses are not concrete—
rather, they are caught up in values,
assumptions, and identities and our individual understandings of
the way things are.
5. Beyond the individual, speci�ic losses may entail something
that is over for everyone—perhaps a
chapter in the organization’s history or assumptions about how
the employer will take care of its
employees. Whatever has ended, Bridges (2009) recommends
coming up with a phrase such as
“We take care of our people” or “We promote from within” (pp.
25–26) to serve as a mantra going
forward.
Beyond identifying who is losing what, Bridges recommends
that leaders also accept the reality and
importance of the subjective losses, expect overreaction,
acknowledge the losses openly and
sympathetically, expect and accept the signs of grieving,
compensate for the losses, continually share

information, de�ine what is over and what is not, mark the
endings, treat the past with respect, let people
take a piece of the old way with them, and show how endings
ensure the continuity of what really matters.
MikaelDamkier/iStock/Thinkstock
Theneutralzoneisthatemptyperiod
betweenanendingandanewbeginning.
Youmayfeellikea�ishoutofwaterasyou
makethistransition.
NeutralZone
The transitional space in which we often �ind ourselves
struggling to compose an ending and move on to the new
beginning is what Bridges (1980) calls the neutralzone. He
notes that this is an empty time or “fallow period,”
especially if the ending did not provide a clear starting point—
perhaps when someone experiences an unexpected
loss. The newly reorganized and relocated Benetton workers
were clearly stuck between the ending and the new,
without much support for making a transition. When people are
stuck in the neutral zone, they are often grieving
the ending of something, rather than the change to something
new. For example, the Rollerblade workers missed
their skating trails and surroundings.
Sometimes people struggle with a change in health status, a life
change such as becoming a new parent, or a job change or
relocation as in the case of Benetton. Part of the dif�icultly of
these
changes is that people want to hang on to the way things were
and
�ind it very dif�icult to embrace the new. They cannot

embrace the
new change until they effectively navigate out of this neutral
zone.
Yet this is problematic because people often do not re�lect on
how
changes affect their lives. Bridges (1980) identi�ies the
following
changes that often pose challenges:
1. relationship losses
2. changes in home life
3. personal changes
4. work and �inancial changes
5. inner changes
The neutral zone can be frustrating. It can also be a highly
creative
time that lends itself to collaboration. It is important for
organization members to have people they trust to follow during
the neutral zone so they have role models for
navigating the change. Assigning temporary roles, groups, and
reporting relationships can also ease the neutral
zone. Creating transition teams can be an effective strategy to
get multiple individuals focused on working through
the change.
Assessment:HolmesandRaheStressManagementQuiz
Take the Holmes and Rahe stress management quiz
(http://www.stress-management.net/stress-
test.htm (http://www.stress-management.net/stress-test.htm) ) to
identify key stressors in your life. These
often tend to be within the categories of change identi�ied in
Bridges’s model. You can interpret your
scores in Table 2.3.

Table2.3:HallandHord’sstagesofconcernmodel
Score Chanceofillnessoraccidentwithin2years
Below 150 35%
From 150 to 300 51%
More than 300 80%
http://www.stress-management.net/stress-test.htm
As evidenced by this quiz, everyone experiences life transitions
that cause stress. Realizing that life’s
changes create stress helps people learn to recognize and cope
with these changes.
Bridges (1980) urges people in the neutral zone of a change or
transition to
1. �ind a regular time and place alone to re�lect on the change,
2. log their neutral zone experiences,
3. work on their autobiography,
4. use the time to discover what they really want,
5. think of what would be unlived in life if it ended today, or
6. take a few days to go on their own version of a passage
journey.
NewBeginning
Finally, the ending has brought a new beginning. After working
through the ending and the neutral zone, Bridges
recommends taking action to embrace the new change, identify
with the change, and tune out fears of the new.
Although Bridges writes about transition, Lewin’s in�luence is

clear. Unfreezing is comparable to endings when
people realize things cannot continue as they were. The neutral
zone represents the moving phase when people
prepare to embrace a new beginning, where the changes are
refrozen. It is natural for people to feel ambivalent
about new beginnings. Bridges (2003) recommended that
leaders provide the four P’s to help employees start anew:
A purpose, a picture, the plan, and a part to play.
AppreciativeInquiry
Change models tend to be de�icit oriented; that is, they look
for problems, shortcomings, and ways to minimize
negative outcomes. The positive model emerged as an
alternative to Lewin’s and other similar change models that
were critiqued for their de�icit basis. It was developed by
David Cooperrider and colleagues during the 1980s and
achieved popularity in the early 2000s. A strengths-based
organizational change model, the positive model focuses
on what the organization is doing right (Cooperrider & Whitney,
2005; Cooperrider, Whitney, & Stavros, 2008). In
doing so, it uses an approach known as appreciativeinquiry(AI).
AI is a strengths-based approach that attempts to shift away
from the traditional problem-solving mindset that
searches for things going wrong. AI is based on the assumption
that every organization has things that are working
effectively, and it seeks these variables out as the starting point
for change (Doggett & Lewis, 2013). AI is more than
a positive means to an end. AI attempts to collaboratively
promote generative investigation that propels the
organization to achieve a future that everyone has helped
construct. AI is contrasted with traditional problem
solving in Table 2.4.
Table2.4:Problemsolvingversusappreciativeinquiry

Problemsolving Appreciativeinquiry
Felt need
Problem identi�ication
Appreciating
Valuing the best of “what is”
Causal analysis Envisioning “what might be”
Problemsolving Appreciativeinquiry
Analysis of potential solutions Dialoguing about “what should
be”
Action planning (treatment) Innovating “what will be”
Underlyingbelief:Organizationisaproblemtobe
solved.
Underlyingbelief:Organizationisamysterytobe
embraced.
Source:AdaptedfromCooperrider&Srivastva,1987;Doggett&Lew
is,2013.
AI’sPhilosophicalPrinciples
AI has �ive core philosophical principles (Cooperrider,
Whitney, & Stavros, 2008; Doggett & Lewis, 2013):

The constructionist principle assumes that self-knowledge and
the world are formed through our
interactions with each other.
Simultaneity is the assumption that inquiry and change are
intricately linked and occur instantaneously.
The poetic principle posits that organization life comes alive
through storytelling.
The anticipatory principle features the role of vision in
propelling the organization toward a desired future.
The positive principle is AI’s focus on the positive as an
alternative to traditional problem-solving paradigms
for promoting change.
AI’s4-DCycle
AI’s 4-D cycle asks a series of questions that make an
af�irmative inquiry to help the organization discover, dream,
design, and identify its destiny. AI can be done with work
groups or teams or with a large, diverse group that is
representative of the organization. The AI cycle can take up to 2
months to plan. The initial implementation takes
from 3 to 4 days, with several months of further implementation
and follow-up once the cycle is completed (Ludema
& Fry, 2008). See Table 2.5 for an illustration of how the 4-D
cycle works.
Table2.5:The4-Dappreciativeinquirycycle
AIstage Inquiry
Af�irmativetopicofchoice (topic around which
the inquiry is based, such as positive change
initiatives in the organization): appreciating and
valuing.

AIstage Inquiry
1. Discovery:Participants share stories and
insights about achievements, strengths,
values, and competencies.
The organization focuses on appreciating and valuing the best
of what already exists. Participants answer questions such as:
What is a high point about working here—when you
were most alive and engaged?
What is it that you most value about yourself and your
work?
What is the key thing that gives life to this
organization?
Imagine the organization 5 years from now with
everything the way you had envisioned it would be.
What has happened? What is different? How have you
contributed to this future?
2. Dream: envisioning The participants create and present a
shared vision
for how the high points identi�ied in the discovery
stage can occur more frequently.
Key questions at this step are: “What might our future
be?” and “What do we hope to accomplish?”
3. Design: coconstructing a future A phase of earning,
empowering, and improvising to
sustain a future.
The organization develops a formal statement or
provocative proposition that expresses the new vision.
The vision is described in the past tense to convey a
sense that it is already occurring.

4. Destiny: action and Implementation Action plans are created
to ensure the new vision is
implemented.
Priorities are created to actualize the plan.
Source:AdaptedfromCooperrider,Whitney,&Stavros,2008;Dogge
tt&Lewis,2013;Moore,2008.
CritiqueofAI
AI has been critiqued for its Pollyanna-ish stance and failure to
acknowledge and address negative issues. The
positive approach risks silencing critical voices and maintaining
unequal power relations (Doggett & Lewis, 2013;
Zandee & Cooperrider, 2008). AI has also been criticized for
lacking an emphasis on re�lection at the expense of
taking action. Finally, some research has shown that AI
practitioners have not adequately or authentically followed
its principles and philosophy (Doggett & Lewis, 2013).
In spite of some of its challenges, AI alters the focus of the
conversation and can shift a change effort’s focus from the
negative to the positive. It can be especially powerful for teams
and system-level change and may also help an
organization make it through a transition more smoothly.
TakeAway2.4:ModelsofChange
Just as there are many ways to de�ine change, so too are there
several models for describing the
process. This chapter pro�iled �ive common change models.
Lewin created the �irst model of change, with three steps of
unfreezing, moving, and refreezing.

Most change models are a variation of these three stages.
Lewin also created �ield theory and developed the force �ield
analysis as a tool for evaluating the
forces that both drive and restrain change.
Schein and Lippit, Watson, and Westley all improved on
Lewin’s 3-step model, adding more
psychological explanation (Schein) and more steps, points on
working on the client relationship,
and description (Lippitt, Watson, and Westley).
Bridges’s transition model describes why people and
organizations tend to get stuck in the midst
of change and how to help people successfully navigate the
stages of endings, the neutral zone, and
beginnings.
Appreciative inquiry (AI) was created as a more positive
alternative than other change models.
Rather than focusing on problems, AI seeks to identify what is
working well, rather than on what is
not working, and capitalize on it to cocreate a vision of the
future.
SummaryandResources
ChapterSummary
There are several ways to describe the nature of change in OD,
which is the alteration or complete
transformation of people, processes, products and places.
OD can focus on �irst- or second-order change. First-order
change alters the intensity, frequency, or duration
of a behavior and is easily reversed. Second-order change
radically alters the thinking, behaviors, or
processes of the organization in irreversible ways.
Developmental change is stimulated when new skills,
challenges, or relationships require growth and

learning. Transitional change involves making incremental steps
toward a desired state over a speci�ied
period. Transformational change revolutionizes the thinking and
actions of the organization’s members.
Change can be operational or strategic. Operational change
involves shifts that affect day-to-day functioning
or operations. Strategic change involves more revolutionary
shifts in tactics to better achieve organization
mission and vision.
The systems framework for understanding organizations
originated with the development of general
systems theory, or GST.
In keeping with Aristotelian philosophy, it is worth
remembering that “the whole is greater than the sum of
its parts” when creating and altering systems.
Both individual and organization readiness to change can vary
as people navigate the many changes
presented in their personal and work lives.
Organization change generally occurs on one of three levels:
individual, group or team, or organization or
system.
Examples of individual change include staf�ing and talent
management, training and development, and
coaching. Individuals more readily accept change when their
concerns about how the change will personally
affect them are addressed.
Examples of group and team change include action learning,
team building, and network formation. A key to
helping teams and groups embrace change is to have them
participate in its planning and implementation.
Examples of organization and system change include survey
feedback, large-scale change, and mergers and
acquisitions. Change at the organization or system level is the
most complex, and several forms of resistance
can occur during implementation. Management and OD
consultants need to pay close attention and

intervene quickly when organization change begins to derail.
Just as there are many ways to de�ine change, so too are there
several models to describe the process. This
chapter pro�iled �ive common change models.
Lewin created the �irst model of change, with three steps of
unfreezing, moving, and refreezing. Most change
models are a variation of these three stages.
Lewin also created �ield theory and developed the force �ield
analysis as a tool for evaluating the forces that
both drive and restrain change.
Schein and Lippit, Watson, and Westley all improved on
Lewin’s 3-step model, adding more psychological
explanation (Schein) and more steps, points on working on the
client relationship, and description (Lippitt
and colleagues).
Bridges’s transition model describes why people and
organizations tend to get stuck in the midst of change
and how to help people successfully navigate the stages of
endings, the neutral zone, and beginnings.
Appreciative inquiry (AI) was created as a more positive
alternative than other change models. Rather than
focusing on problems, AI seeks to identify what is working
well, rather than on what is not working, and
capitalize on it to cocreate a vision of the future.
1. The chapter began with vignettes about failures to change at
Blockbuster and Kodak. Re�lect on a personal
failure to change or a failure to change that you have witnessed
in another organization. What caused the
failure? What were the consequences?
2. Re�lect on a change you made successfully. How did it

differ from the failure?
3. Re�lect on the endings in your life, recalling Bridges’s
(1980) transitions model of change. Bridges
recommends the following exercise (pp. 14–17).
a. List all of the endings you recall, tracing all the way back to
your childhood.
These endings might include major events such as the loss of a
loved one or moving away from your
hometown, to things that others might view as minor, such as a
friend moving or losing a pet.
Endings might be physical, relational, geographical, social,
academic, civic, and so forth.
b. Note your reaction to the endings, including your feelings
and thoughts. Bridges suggests that your old
mindset is likely reactivated in the present whenever something
ends in your life. How true is that for you?
c. Do you notice a particular style for how you handle endings?
Is it abrupt or aimed at delaying the change?
Do you take an active or passive role?
How receptive are you to change?
How in control of your fate do you tend to feel during change?
d. How does your approach to endings affect your ability to
make transitions?
4. Review the �ive change models presented in this chapter.
Which one resonates with you? Why?
1. View the video links on change and identify the key
challenges you think change presents to you and your
organization.

2. Review the results of the What Is Your Own Change Leader
Style? and Readiness for Change assessments.
What insights did you gain from these assessments about how
you approach change?
3. Create a map of a system you belong to and note its �ive
elements (semipermeable boundary, inputs,
throughputs, outputs, and feedback loops).
4. Think about a change you are currently attempting. Perhaps
you want to lose weight, keep a journal, or learn
a new skill. Create a force �ield analysis identifying the
driving and restraining forces impacting your change
efforts. Explain steps you can take to bolster the driving forces
and minimize the restraining forces.
5. Recount a change you have experienced (personal, work, or
community). You can keep a journal or �ind a
family member, friend, or classmate and share your:
a. reaction
b. learning
c. results
6. Conduct an appreciative inquiry on a personal or work issue
using the 4-D cycle described in this chapter.
AdditionalResources
WebLinks
Association of Change Management Professionals, a
professional organization that offers professional development
opportunities in change management.
http://www.acmpglobal.org/(http://www.acmpglobal.org/)

The Society for Organizational Learning, an excellent resource,
particularly for tools related to the systems approach
in OD.
http://www.solonline.org/?home(http://www.solonline.org/?hom
e)
Become a certi�ied change manager through the Association for
Talent Development:
http://www.acmpglobal.org/
http://www.solonline.org/?home
http://www.astd.org/Education(http://www.astd.org/Education)
5 Books to Help you Build Better Habits and Embrace Change
(Fast Company).
http://www.fastcompany.com/3026359/work-smart/5-books-to-
help-you-build-better-habits?
utm_source=facebook
(http://www.fastcompany.com/3026359/work-smart/5-books-to-
help-you-build-better-habits?
utm_source=facebook)
KeyTerms
actionlearning
A process of addressing the real problems of the team, in real
time, in the real workplace.
appreciativeinquiry(AI)
A positive approach to planned change that seeks to identify
what is working well, rather than what is not
working, and capitalize on it to cocreate a vision of the future.

beginning
As de�ined by Bridges (1980), the point at which we become
ready to embrace change, after we have brought
closure to the ending of the previous way of being and
navigated through the neutral zone.
changeagent
An individual who acts as a catalyst for the change and has
in�luence over the process.
developmentalchange
A change associated with the growth and learning people
acquire through experiences and formal education or
training.
ending
As de�ined by Bridges (1980), the “beginning” point for
change; the cessation of a prior way of being that marks
the start of a change process or transition.
environmentalscanning
The scrutinizing of the world for information to understand
what others (competitors, innovators) are doing to
learn ideas that might help predict the future.
�irst-orderchange
A gradual or incremental change that usually involves making
moderate adjustments to existing procedures and
practices. First-order change essentially tweaks what is already
being done and is easily reversed.
force�ieldanalysis
A tool to depict the variables that both support or drive the
change and those that restrain or prevent it.

grouporteamchange
Change processes involving two or more people and often the
site of OD interventions.
individualchange
Change processes involving a single person.
inputs
The raw materials that are entered into a system for throughput
and output.
large-scaleintervention
http://www.astd.org/Education
http://www.fastcompany.com/3026359/work-smart/5-books-to-
help-you-build-better-habits?utm_source=facebook
Processes involving strategically selected groups in
organizations, such as the top executives, to implement
change.
network
A group based on af�inity or similarity that is usually
disenfranchised in some way in the organization and bands
together for collective voice and action.
neutralzone
As de�ined by Bridges (1980), the fallow, lost space people
�ind themselves in after an ending and before the
beginning of a new change.
operationalchange
Change that occurs when organizations make shifts that affect
day-to-day functioning or operations of the
organization.

organizationorsystemchange
Alteration of the entire organization or system. This is the most
dif�icult level of change.
outputs
The products of a systems approach in which a series of inputs
are put through the system to emerge as products
or services.
refreezing
The process of cementing change and ensuring it is stable and
maintained.
second-orderchange
A type of change that signi�icantly and irreversibly alters
thinking, behaviors, or processes.
system
Viewing the organization as an interconnected network of parts
that are interdependent.
teambuilding
The practice of helping work groups develop effective working
relationships, processes, and procedures.
throughputs
The transformation of system inputs (raw materials and
resources) into outputs (goods and services).
transformationalchange
A change that revolutionizes the organization and the ways its
members think and act.
transitionalchange
Incremental steps toward a desired state over a speci�ied

period.
unfreezing
The process of becoming aware of the need to change and
building the desire to create change.
3 The OD Consultant
DigitalVision/Thinkstock
LearningObjectives
De�ine consultants and clients.
Describe the types, roles, and styles of OD consultants.
Identify the competencies of consultants.
Outline the elements of a good consulting contract.
TheemployeesoftheQuickCoshippingdepartmentareateachother’s
throats.Thedepartment’s10employeeshave
alwaysworkedlonghoursstrivingto�illcustomerorderson time.
But over the past year or so, the workload has
CameronWhitman/iStock/Thinkstock
WorkontheQuickCoshippingdock
wasdisruptedbyinterpersonal
con�licts.

increasedandthepressuretokeepuphasbecomeincessant.Theemplo
yeeshavestrongpersonalities,andasmultiple
ordersstartbackingup,theirstresslevelsrise,theirtempers�lare,and
theysaydisrespectfulthings.Peopleareonedge,
interpersonalcon�lictshavedeveloped,andnooneseemsveryhappy
.
Thesupervisorofthedepartment,Ned,isaneasygoingguywhohastak
en
a laid-back approach to the mounting stress levels and
con�licts. His
mantrais“Let’snotgetemotionalhere.We’vegotworktodo,solet’sge
t
backtoit.”Ned’savoidancestrategyisnothelpful.Thefesteringdisco
ntent
andcon�lictsarereducingthedepartment’sabilitytoshipaccurateor
ders
on time. Absen-teeism is up, morale is down, and people do not
communicatewithorhelpeachotherastheyusedto.Whenproblemsari
se,
noonespeaksupbecauseofthebadfeelingsthathavedevelopedandthe
resignationthatNedwillnotdoanythingaboutitanyway.Soresen-
tment
builds.
Nedisfeelingpressurefromotherdepartmentsascustomers’complai
nts
about inaccurate and late orders mount. The manufacturing
manager,
Sarah,callstheshippingdepartmentsupervisorintoameeting.
“Ned, your department’s performance for accurate, on-time
delivery is
plummeting,”Sarahsays.“Ilookedbackattheorderprocurementfort
hepastyearandyourtrendhasbeensteadily
downward. The past quarter is even worse. Customer complaints

are rising, and other department heads are
complaining.Whatisgoingonhere?”
Nedreplies,“Weworklikecrazy,Sarah,butnooneisworkingtogether
.Wearebusierthannormalbutshouldhavethe
stafftogettheworkdone.Therearelong-
simmeringinterpersonalcon�lictsandwearen’tworkingtogetherlik
ewe
usedto.Ikeeptellingeveryonetogetoveritandgetthejobdone,butnoo
neseemstobelistening.”
“Itsoundslikeyouneedsomehelptogettothebottomofthisproblem,”s
aysSarah.“Let’sgoseeJackinOD.”
NedandSarahsetupameetingwithJack.Althoughhehasheardaboutt
hecon�lictsinthedepartment,duringtheir
�irstmeeting,Jackasksalotofquestionsuntilhehasagoodideaofwha
tisgoingon.JackasksNedpoint-blank,“What
areyoudoingornotdoingthatmightbecontributingtotheproblem?”
Nedacknowledges,“Idon’thavethepatienceortimeforcon�lictandj
ustwanteveryonetogetalonganddothework.”
Jackthenasks,“Areyouwillingtodotheworkto�ixthis,evenifitmean
sthatyoumighthavetochangeorbemore
hands-onwithcon�lictresolution?”
Nedreplies,“Iwon’tlikeit,butwehavetodosomething.I’min.”
JackalsoasksSarahifshewillbackNeduponaddressingthischange.O
ncethetwoofthemagree,Jackemphasizes,“I
canworkwithyou,providingwehaveanequalpartnership.Weallneed
tosharetheresponsibilityfordiagnosingthe
problemandtakingthenecessaryactiontosolveit.”
Thethreeagreetoworktogetheron�indingasolutiontotheinterperso

nalcon�licts and productivity issues in the
shippingdepartment.Beforemakinganintervention,Jackwantstogat
herdata,sohereviewstheperformancetrends
andcustomercomplaintsandinterviewsthemembersofthedepartme
ntindividually.OnceJackhascompletedhisdata
collectionandanalysis,hesetsupanothermeetingwithNedandSarah.
“NedandSarah,youhaveadysfunctionalteamonyourhands,”Jacksa
ys.“Theyhavenogroundrules,collaboration,or
meansofhandlingcon�lict.Everyoneneedstobemoreunderstanding
andrespectfultowardeachother.Itwouldalso
behelpfultocreatesomeguidelinesforhowtheteamwantstooperatea
ndmanagecon�lict.Ned,youalsoneedtotake
amoreactiveroleinresolvingissues.”
JackpresentsafewoptionstoNedandSarah,andtheysettleontakingth
egroup through a facilitated process to
address communication and team effectiveness. They also agree
that Ned could use some individualized executive
coachingtohelphimlearnbehaviorsthatwouldbemoreproductivefor
dealingwithcon�lict.Theysetupatimeto
maketheintervention.Toprepare,theyhaveallofthedepartmentmem
berstakeabehavioral-stylesinventorysothe
teamhasdataonindividualdifferences.Theythenscheduleameetinga
twhichtheywillsharetheinventoryresults
andtheirinterpretation.
Asthemeetingbegins,everyoneistentative,theirarmscrossed.Nedki
cksoffthemeetingbythankingeveryonefor
theirhardworkandacknowledgingthatthereareproblems.Heemphas
izesthateveryonehasparticipatedincreating
theproblemsandthateveryonemusthelpsolvethem.Healsoadmitshi
sownroleintheproblemsandrevealsthatheis
workingonimprovinghismanagerialskillstobemoreeffective.Nedh

aseveryone’sattention.ThenJackdelvesinto
presentingandinterpretingtheresultsoftheinventoryeveryonehasta
ken.Thegroupbecomesanimatedandeven
seemstoenjoysharingthedifferencesamongoneanother.Theiceisbr
oken,andpeoplestarttolettheirguardsdowna
bit.
Thegrouptakesabreak,andnexttheagendashiftstomoreseriousissue
s.Thegroupspendssometimeidentifying
strengthsandweaknessesoftheteamandliststhingsthatwouldmaket
heteammore effective. By the end of the
session,theteamhascomeupwithatangibleplanabouthowtobemoree
ffectiveandwhatspeci�ic actions team
memberswilltakewitheachother.Peoplearetalkingagainandhaveag
reednottosufferinsilencewhentheybecome
upset.
Everyonegoesbacktoworkandtriestoapplythenewstandardsfortea
minteraction.JackworkswithNedtomake
suretheagreementsfromthemeetingareupheld.Nedalsocontinuesto
workwithhiscoachtochangehisbehavior,
andbecomesmoreproactiveandsensitivetocon�lictswhentheyarise
.JackalsokeepsintouchwithSarahtomakesure
sheissupportingNed’seffortsandgettingtheresultssheneededforde
partmentalimprovement.
Theinterventionhasadramatic effect: The percentage of orders
shipped on time increases quickly, and customer
complaintsplummet.Why?Becauseallofthestakeholderswereinvol
vedinaprocessthat
1.
createdmutualunderstandingandinsightaboutmemberdifferencesa
ndsimilarities,
2. jointlyarticulatedtheproblems,
3. collectivelydevisedaplanfordealingwiththem,and

4. wasvisiblysupportedbymanagement.
AsdiscussedinChapter1,participativeactivitiesusuallyresultinbuy
-inbecausepeoplewantasayinthingsthataffect
theirworklives.Althoughtherewillstillbechallengesasthegrouprel
earnshowtofunctiontogether,Ned,Sarah,and
JackfacilitatedanODinterventionthatwascollaborative,databased,
andproblemfocused.TheabilityofNedandthe
shipping department employees to resolve future con�licts will
be the true test of whether the intervention was
successfulandhelpedthedepartmentbuildnewcapacityfordealingw
ithproblems.
ThesuccessrealizedbytheQuickCoshippingdepartmentwasdueinpa
rttotheworkoftheODconsultant,Jack,who
helpedNedandhisteamidentifyandaddresstheirproblemsinawaytha
twasrelevant,timely,andrespectful.This
chapterisabouttheODconsultant,thedifferenttypes,roles,andstyles
ofconsultants,theircompetenciesandskills,
andthecontractingprocessconsultantsengageinwhenworkingwithc
lients.
3.1De�iningConsultantsandClients
Chapters 1 and 2 introduced organization development and
change. This chapter focuses on the people who practice
OD, generally known as consultants. In Chapter 1 we de�ined
an OD consultant as a person who practices OD. This
person may be an internal employee or external to the
organization. We de�ined an OD consultant as a practitioner
of OD who has specialized knowledge of the action research
process and facilitation skills to lead organizations
through planned change. In reality, the terms practitioner and
consultant are used synonymously in OD.

WhoInventedThat?ManagementConsulting
Arthur D. Little created the �irst management consulting �irm
in 1886 at the same time management was
also emerging as a �ield of study. At the time, Little focused on
technical research and later shifted to
management consulting. Frederick Winslow Taylor started an
independent consulting practice in
Philadelphia in 1893; however, he is better known as the creator
of scienti�ic management, or Taylorism (a
method of analyzing and synthesizing production work for
ef�iciency). The consulting industry did not
factor prominently as a resource organizations turned to for help
until the late 20th century with the rise
of major, global consulting �irms in the 1980s and 1990s. You
can learn more about these �irms and their
services at http://www.stormscape.com/inspiration /website-
lists/consulting-�irms
(http://www.stormscape.com/inspiration/website-
lists/consulting-�irms) , which lists the 50 major consulting
�irms and links to their websites. Forbes has also compiled a
listing of the most prestigious consulting
�irms, available at
http://www.forbes.com/sites/susanadams/2011/08/25/the-most -
prestigious-
consulting-�irms
(http://www.forbes.com/sites/susanadams/2011/08/25/the-most-
prestigious-consulting-
�irms).
ConsultantsAreHelpers,In�luencers,andPersuaders
Consultants are often described as helpers (Lippitt & Lippitt,
1986; Schein, 2011). Schein (2011) comments:

Helpingis a basic relationship that moves things forward. We
take helping so much for granted in our ordinary
daily life that the word itself often comes up only when
someone is said to have “not been helpful” in a situation
where help was taken for granted. (p. ix)
Think about people who have helped you. What about them
made you seek or accept their help? They are likely
people who made you feel that they understood you and you
could trust them (Schein, 2011). Now think about
people who are “unhelpful.” How are they different from
helpers? Consulting is about helping—speci�ically about
providing “helpful help,” rather than “unhelpful help” (Schein,
2011, p. 1). Simply, consultants specialize in creating
understanding and trust with their clients via relationships.
TipsandWisdom
Consultants generally do not have positional power within an
organization, so if they are to in�luence
thought and action, they need in�luence. Peter Block (2011),
considered a master of OD consulting,
explains:
http://www.stormscape.com/inspiration/website-lists/consulting-
firms
http://www.forbes.com/sites/susanadams/2011/08/25/the-most-
prestigious-consulting-firms
A consultant is a person in a position to have some in�luence
over an individual, group, or organization
but [who] has no direct power to make changes or implement
programs. A manageris someone who
has direct responsibility over the action. The moment you take
direct responsibility, you are acting as a

manager. (p. 2).
Jack, the consultant in the QuickCo vignette, had little power
over the shipping department and could not
simply march in and give orders. But Jack and Ned were able to
collaboratively intervene in a way that
addressed the problems, and they developed new insights and
skills to help the department handle future
issues. Cockman, Evans, and Reynolds (1996) noted that
consultants are
people who �ind themselves having to in�luence other people,
or advise them about possible courses of
action to improve the effectiveness of any aspect of their
operations, without any formal authority
over them or choosing not to use what authority they have. (p.
3)
Consultants are also persuaders. Although they have little power
to implement change, they compensate
by developing persuasive skills to promote change with their
clients. These skills include prevailing on a
person or organization to adopt a course of action through
advising, urging, or providing compelling
evidence. One example of persuading the client might be using
the organization’s own performance data to
show information that would motivate change, such as retention
statistics, quality performance, or product
rankings. A consultant might also persuade a leader to examine
and perhaps change leadership style using
feedback from employees.
“A consultant is one who provides help, counsel, advice, and
support, which implies that such a person is
wiser than most people” (Burke, 1992, p. 173). OD wisdom is
developed through learning OD theory and

process and having the ability to explain it to the client and
persuade the organization to change its course.
ConsultantsWorkWithClients
Consultants work for a person, team, or department, any of
which can be a client. Block (2011) de�ined a client as
anyone who
1. attends the initial OD planning meeting,
2. sets objectives for the project,
3. approves any actions to be taken,
4. receives the report on the results of the consultant’s work,
and
5. is signi�icantly impacted by the OD effort.
Consultants seek to accomplish at least three things when
working with clients, according to Block (2011). These
include establishing a collaborative relationship, solving
problems so they stay solved, and ensuring that both the
business problem and the relationship with the client are given
adequate attention. The QuickCo vignette highlights
how these goals can be achieved.
Schein (1997) takes a broader view and distinguished six types
of
clients:
1. Contact clients: individual(s) who make the initial contact
with the consultant to request services, ask a question, or
raise an issue.
mediaphotos/iStock/Thinkstock
Aconsultantworkswithclientstoagreeon

parametersfortheconsultingagreement.
2. Intermediate clients: individuals or groups participating in
data collection, meetings, and activities related to the OD
project.
3. Primary clients: individual(s) who ultimately “own” the
issue subject to OD consulting. They are also usually the
ones who pay the bills or budget for the project.
4. Unwitting clients: members of the organization or system
who are impacted by the intervention but not aware of it.
5. Indirect clients: members of the organization who know
about and are affected by the OD intervention but are
unknown to the consultant.
6. Ultimate clients: the community, wider organization, and
other stakeholders affected by the intervention.
When beginning a relationship with a client, a consultant must
�irst
determine the identity of the primary client. That is why
Schein’s
typology is helpful. Novice consultants often mistake contact
clients for primary clients. Let us say you are a
consultant who is called by a department manager to help the
organization do strategic planning. The manager was
tasked with making the �irst contact because she recommended
you as a potential consultant during a management
team meeting. Her recommendation was based on some
consulting you provided to a nonpro�it organization she
belongs to. The person making contact was the contactclient
because she requested services. The primaryclient in
this case would be the top executive of the organization whose
job is to set strategy.

The primary client worked with you to plan a strategic planning
process that was inclusive and involved a cross-
section of representatives from the business who attended
meetings and developed surveys to share with a
randomized segment of the organization. These were
intermediate clients, who participated in the process in some
way. During the process, the employees who did not participate
in any way and were not aware a strategic planning
process was underway were the unwitting clients. The
employees who were aware of the process but did not
participate in any way were the indirect clients. Finally, the
stakeholders of the organization—such as the
community, other company divisions, and suppliers—were the
ultimateclients because they were affected in some
way by the strategies created.
Burke (2011) de�ined the ultimate client differently. He held
that the ultimate client is the behavior in organizations
represented by people’s interactions, relationships, and
interfaces. He argued that these interactions are
representative of the realities of organization life, and thus they
were the focus of his consultancy. He focused his OD
practice on how the organization manages subordinate
relationships: managing up, managing laterally, and
managing unit interfaces. Change happens through these
relationships, and understanding their related issues and
challenges ultimately helps the OD process.
Regardless of the type of client a consultant encounters, it is
important to build a trusting relationship. If a client
does not trust a consultant, it will be dif�icult for meaningful,
impactful OD to occur. Think of someone you trust and
note the reasons. Chances are you identi�ied interpersonal
attributes such as honesty, dependability, responsibility,
respectfulness, and believability. You might have also listed

competencies like expertise, experience, or being a
recognized authority. These elements help build trust with the
client.
TakeAway3.1:De�iningConsultantsandClients
Consultants help, in�luence, and persuade their clients about
how to proceed with OD and change,
although they have no formal organization power.
There are several different types of clients during a typical OD
process, including contact,
intermediate, primary, unwitting, indirect, and ultimate. It is
imperative that the consultant
correctly identify the primary client.
Goodshoot/Thinkstock
Somecompanieschoosetoretain
internalconsultants,whereasothers
hireexternalconsultantsonanas-
neededbasis.
3.2Types,Roles,andStylesofODConsultants
Steele (1969) likened OD consultants to detectives, noting the
following shared attributes of each:
They have temporary involvement in a system.
They focus on data gathering and problem solving.
They offer the potential for “dramatics.”
They are oriented toward action and excitement.
They rely on experts.

Their work involves juggling several stimulating cases
simultaneously.
Today, Steele’s comparison still rings true as we consider the
challenging, exciting work of implementing planned
change in organizations. This section begins by distinguishing
the two types of consultants—internal and external—
introduced in Chapter 1. It then identi�ies a variety of roles of
consultants and explores various consultant styles.
InternalandExternalConsulting
OD consultants can be classi�ied by type according to their
relationship with the organization. People act as an
internalconsultant if they are a permanent member of the
organization who facilitates OD, whether or not that is
their sole or primary responsibility. For example, an internal
consultant might work for the organization as a full-
time, permanent employee with a client base of organization
members and departments. Some internal OD
consultants might have responsibilities that are broader than
just OD, such as managing the human resource
function or designing and delivering training. Others will be
dedicated to providing OD services full time.
If, in contrast, someone has a temporary relationship with the
organization and is not an insider or permanent employee, he or
she is
an externalconsultant. A consultant may be self-employed or
work for
a consulting �irm that provides services to a number of
organizations and
industries. Organizations usually contact external consultants
when the
needed consulting expertise is not available in-house. An
example would

be an organization that hires an external diversity expert to
develop an
inclusive recruitment and retention plan in the event that no one
inside
the organization has such expertise.
AdvantagesofInternalandExternalConsulting
Advantages for the internal consultant include possessing
privileged
historical and contextual organization knowledge that usually
provides
deep insight into its problems and challenges. Internal
consultants
typically have built long-standing, trusting relationships with
other
organization members.
External consultants also have advantages. Their temporary
status gives
them more leeway to take risks than internal consultants, and
they enjoy
higher prestige and ready credibility due to their peripheral,
novel status.
DisadvantagesofInternalandExternalConsulting
Internal consultants may be more vulnerable to organization
politics; for example, if they are working on an
unpopular change initiative, there may be backlash or
undermining of them and future projects. They could also be
pressured to divulge con�idential information or take sides
when individuals involved in the OD process disagree.

Internal consultants are also more likely to be taken for granted
since their skill set is readily available for the
organization to use. Internal consultants have to live with the
OD interventions they create, including maintaining
relationships with other organization members who may not like
the changes they have helped implement. These
realities might cause internal consultants to be more personally
invested in an intervention’s success but also more
timid about taking necessary risks.
External consultants, on the other hand, have less insight into
the organization and are rarely able to see the long-
term impact of their efforts. Table 3.1 provides a more
exhaustive list of the pros and cons of being internal and
external consultants. There are more pros and cons associated
with internal consultants.
Table3.1:Prosandconsofinternalandexternalconsulting
Internalconsultantpros Internalconsultantcons
They have knowledge of the client and
organizational problems.
They have insight into the organization’s
history, politics, and culture.
They likely share similar values with the
client.
They know where to �ind information and
resources.
They understand the client and can predict
reactions and behaviors.
They have an established reputation.
They have other colleagues internally who
might be helpful.
They can monitor and evaluate the
effectiveness of OD intervention.

They belong to culture they are trying to change
(this could also be a pro).
Their department’s image might follow them (it
helps if it is a good one).
Their image might be a liability.
Their services might be mandated by the
organization.
They might have insights they must keep
con�idential.
They might be challenged by con�identiality issues.
They might be part of the problem.
They might not be comfortable consulting outside
their rank.
They might have to confront people with whom
they work.
They might be discounted as a prophet in their
own land.
They might fear that giving bad news could
adversely affect their advancement prospects.
Externalconsultantpros Externalconsultantcons
Their entry time line is usually short.
They are viewed as novel.
Their outsider status allows them
immediate prestige and credibility.
Their capacity to take risks is high.
They have a neutral, objective viewpoint on
the organization.
They do not need to fear repercussions of
addressing dif�icult issues or people.
They do not receive ready trust.
They have limited knowledge of the client or
organization history, culture, and politics.

Block’sConsultantRoles
Block (2011) identi�ied three roles played by consultants.
These are the expert, pair-of-hands, and collaborator
roles. They apply whether the consultant is internal or external.
ExpertRole
©ZakKendal/cultura/Corbis
Collaborativeconsultingmeansthatthe
clientandconsultantmeethalfwayand
shareresponsibilityequallyfortheOD
process.
When clients have a problem and lack the time and interest to
deal with it, they often turn to a knowledgeable
consultant who serves an expertrole by telling them what to do.
For example, if two employees are on the warpath
with each other, the client might hire a consultant who has
expertise in con�lict mediation. Or if an organization
wants to administer a survey, it might contract with an expert to
conduct it. When consultants play the expert role,
clients expect them to provide answers and usually give them
authority to �ix the issue.
Pair-of-HandsRole
When a client has a task that needs to be completed and wants
someone else to do it, they are seeking a consultant
to play the pair-of-handsrole. Usually, clients seeking this type
of consulting also take little time or interest in the
problem at hand. Instead, they hire a consult and tell him or her
what to do, such as facilitate a meeting or

implement a process.
Neither the expert nor the pair-of-hands role is ideal. A
collaborative approach is generally preferred for its mutuality
and
effectiveness.
Collaborator
When the client and consultant mutually engage in and share
responsibility for the OD effort, they are involved in
collaborative
consulting. The clear bene�it of collaborative consulting is that
it
helps clients diagnose their own problems and build capacity to
become independent of the consultant. When a consultant helps
clients learn the OD action research process and build capacity
to
solve problems and implement change in the future, the
consultant
has successfully completed a sustainable intervention. In the
QuickCo vignette, Jack functioned in this role. See Table 3.2
for
additional descriptions of these three types of consulting.
Table3.2:ComparisonofBlock’sconsultingroles
Expertrole Pair-of-handsrole Collaboratorrole
Manager plays inactive
role.
Consultant assumes passive role. Consultant and manager are
interdependent.
Consultant makes

decisions about how to
proceed.
Manager decides how to proceed and
consultant follows manager’s direction.
Decision making is bilateral.
Consultant controls
information and
intervention.
Manager selects procedures for data collection
and analysis.
Data collection and analysis are joint
efforts.
Technical control rests
with the consultant.
Control rests with the manager. Control issues become matters
for
discussion and negotiation.
Collaboration is not
required.
Collaboration is not really necessary. Collaboration is
considered essential
and permeates project.
Expertrole Pair-of-handsrole Collaboratorrole

Two-way
communication is
limited.
Two-way communication is limited. Communication is two-
way.
Consultant plans and
implements main
events.
Manager speci�ies change procedures for the
consultant to implement.
Implementation responsibilities are
determined by discussion and
agreement.
Manager judges after
the fact.
Manager evaluates results and judges from a
distance.
Manager participates in a joint
evaluation with the consultant.
Consultant’s goal is
solving immediate
problem.
Consultant’s goal is to make the system more
effective by the application of specialized
knowledge.
Goal is long-term problem solving—

ensuring problems stay solved.
Source:AdaptedfromBlock,1999.
LippittandLippitt’sContinuumofConsultingRoles
In their 1986 book, TheConsultingProcessinAction, Lippitt and
Lippitt observed that consultant behaviors could be
characterized as occurring along a continuum from nondirective
to directive. To illustrate these ideas, consider a
consultant named Miranda. When Miranda sits back and
observes the client grappling with and solving a problem
without much help, she is being nondirective. Nondirective
consulting promotes client buy-in because the client is
involved in identifying a problem’s root cause and proposing a
solution. The consultant’s nondirective behavior
would be to ask the client questions that promote re�lection
and problem solving. Consultants in this mode are
patient and will wait before taking a more active, forceful role
with the client.
When Miranda is more assertive about telling the client what to
do or providing answers, her behavior is known as
directive. This consulting behavior is appropriate when the
client lacks expertise to solve the problem. Whereas
nondirective consulting merely provides information to the
client and leaves it to the client to act, directive
consulting assumes a leadership stance and initiates activities.
Lippitt and Lippitt (1986) identi�ied eight roles of consultants,
which they placed along their nondirective–directive
continuum as shown in Figure 3.1. They stressed that each of
the eight roles can be appropriate to address a range
of OD issues, as long as they are negotiated with and agreed on
by the client. There is no one-size-�its-all role for OD
consultants. The eight roles are described in the next sections,

using the example of Miranda to illustrate their
speci�ic functions and approaches.
Figure3.1:Continuumofconsultingroles
Theeightconsultingrolesidenti�iedbyLippittandLippittareeffecti
veacrossarangeofOD
issues,butclientsandconsultantsshoulddeterminetheconsultant’sr
oleearlyinthe
process.
Source:GordonL.LippittandRonaldLippitt,fromThe Consulting
Process in Action.Copyright©1994JohnWileyandSons,
Inc.Reproducedbypermission.
ObjectiveObserver
When Miranda patiently waits for clients to discover the answer
to their issue independently by creating the time,
space, and right questions to bring it to the surface, she takes
the role of an objective observer. This is the most
nondirective, client-centered role she can take as a consultant.
To assume this role, Miranda must be highly effective at asking
questions that help the client re�lect, clarify what is
important, and make decisions. She keeps her opinions and
ideas to herself and coaches the client toward the right
answer. Although she shares feedback with the client based on
her observations, she gives the client full
responsibility for coming up with actions and implementing
them. When being an objective observer works, the
client will build con�idence, mastery of the change process,
and independence from the consultant.

For example, Miranda might be working with a client named
Larry on becoming a more participative leader. She
might ask him, “What have you done in the past week to be
more participative?” She could also ask follow up-
questions that push him to re�lect on the situation and identify
possible actions to try in the future, such as, “How is
it working for you?” “What is one thing you can do to be more
participative next week?”
ProcessCounselor
When Miranda observes a client engaging in problem-solving
processes and offers suggestions for improvement,
she is serving as a process counselor. To assume this role,
Miranda collaborates with the client to jointly diagnose
issues, and the client takes the lead in resolving problems. Her
concern here is with the client’s interpersonal and
intergroup dynamics that affect the problem-solving process.
She would observe the client, collect data on the issue,
and provide feedback to help improve client relationships and
processes.
Returning to the example of the manager who seeks to become
more
participative, in this role Miranda would sit with the manager
during a
staff meeting and observe his behavior. After the meeting ends,
she
would offer comments on what she saw, such as when she saw
him
interrupt others, tell people what to do, or too quickly offer
solutions
without seeking input.

Chaos/DigitalVision/GettyImages
Anondirectiveconsultantsitsback
andletstheclientsolvetheproblem.
FactFinder
Serving the client as a researcher who collects, analyzes,
synthesizes, and
interprets relevant information is a fact-�inder role. Data
collection
typically occurs in one of �ive ways: (a) interviews, (b)
questionnaires, (c)
observations, (d) analysis of records and documents, and (e)
tests or
surveys. Through fact �inding, a consultant learns about the
client’s
procedures and challenges and then uses the evidence to
propose
appropriate interventions.
Continuing with the example of the manager who seeks to
become
participative, as a researcher, Miranda might decide to conduct
a 360-
degree evaluation (discussed in detail in Chapter 7) that seeks
input from
direct reports, peers, supervisors, and other designated
organization
members. This data would be shared with the client, and steps
to address
problems would be identi�ied.
Identi�ierofAlternativesandLinkertoResources
When Miranda helps the client generate alternative solutions to

a problem and establish criteria for evaluating the
alternatives, her role is to identify alternatives and link to
resources. She leaves the �inal decision about the course of
action to the client.
Once the manager has data on his participative behavior (or lack
thereof ), Miranda would identify several resources
for continued learning. These might include books, seminars,
other individuals the manager might want to emulate
or seek mentoring from, or executive coaching. The client then
decides on what will work best for him.
JointProblemSolver
When Miranda works in conjunction with the client to diagnose
and solve the problem, taking a major role in
de�ining the results, she is a joint problem solver. This
function consists of offering multiple interpretations of the
problem, helping the client maintain objectivity, isolating
problem causes, generating alternative solutions,
evaluating alternatives, choosing a solution, and developing an
action plan. She may also function as a third-party
mediator when con�lict arises during the problem-solving
process.
Let us suppose Miranda is consulting with a production team
working furiously to meet a time line to introduce a
new product line. There is a lot of con�lict in the group over
roles, decision making, and best practices. Miranda has
been brought in to help the team meet its goal within the time
frame, quality speci�ications, and budget. Her actions
as a consultant might be to mediate con�lict between warring
members. She might also help them identify key
problems in their process and possible ways to solve them.
Trainer-Educator

When Miranda organizes learning and development activities to
address the client’s problem, she serves the trainer–educator
role.
Most OD consultants have formal training and experience in
learning and development. A caution with this role is that
training
is often not the most effective intervention to prescribe. It can
be
costly and time-consuming, and when incorrectly prescribed,
the
organization’s problems will persist, and both organization
morale
and a consultant’s credibility will suffer.
JonFeingersh/BlendImages/GettyImages
Directiveconsultantsactivelyengageinthe
ODprocess,usingamorehands-on,
assertiveapproach.
Continuing Miranda’s work with the production team, it
becomes
obvious that the team would bene�it from more formalized
learning
around con�lict management and project management. She
organizes a daylong seminar to help the team learn about these
issues.
InformationSpecialist
When Miranda provides expert knowledge, information, or
answers to the client’s dilemmas, she is serving as an
information
specialist. Although there are times when a consultant’s

expertise
is needed, functioning primarily in this role can create client
dependency and foster an inability to independently problem
solve.
Serving in this role also makes it more dif�icult to strike a
collaborative relationship with the client.
For example, Miranda might decide to give the team some
handouts
she developed to provide shortcuts to con�lict mediation and
project planning. However, she continues to allow team
members to problem solve independently.
Advocate
When Miranda pushes the client in a direction of her preference,
she is being an advocate. She uses her power and
in�luence to promote certain ideas and values in the decision
making process. This is the most directive consulting
role and is considered to be consultant centered.
As an advocate, Miranda might start to push the team toward a
certain meeting structure. Or she might promote
certain speci�ic procedures for facilitating the team’s meetings.
BlakeandMouton’sInterventionStyles
In addition to assuming different roles, consultants also embody
different intervention styles when they deal with
clients. So far this chapter has covered several roles consultants
can play. They are all potentially useful, depending
on the client and the situation. Most consultants develop a
unique style that capitalizes on their skills, interests, and
comfort. Blake and Mouton (1976; 1983) identi�ied four roles
that were later summarized by Cockman and
colleagues (1996) in their book, Client-CenteredConsulting.

These are discussed in the following section using a
hypothetical consultant named Benjamin.
Assessment:ConsultantStyleInventoryScore
Being a consultant is demanding and requires that a person
works to serve the needs of individuals,
groups, and the organization itself. Effective consulting requires
being �lexible and adaptable in order to
meet the clients’ needs as well as the consultant’s own. What
works with one client may be inappropriate
with another. Thus a consultant needs to be ready to intervene
and adapt based on the people and
situation. Your repertoire of behaviors with clients is usually
based on your style as a consultant. If you
tend to favor certain roles, you may need to remind yourself to
check that they match the situation and
adjust accordingly.
AcceptantStyle
When Benjamin helps clients by listening with empathy and
providing emotional support, he is employing an
acceptantstyle. The acceptant style offers neutral,
nonjudgmental support that helps clients relax their defenses,
confront disabling emotional reactions, and solve problems
independently.
For example, Benjamin might help a client distinguish an issue
from a person. If the client is having an emotional
reaction to a person that evokes anger, frustration, or confusion,
the issue at hand may be clouded. Although the
client may hate the CEO, that matter is separate from the need
to implement the organization’s strategic plan

created by the CEO. Helping the client see this distinction can
be cathartic and get him or her focused on problem
solving. By providing an atmosphere of acceptance in which a
client feels accepted, safe, and not threatened, an
acceptant style helps the client clear whatever is blocking him
or her from dealing logically and rationally with the
problem.
CatalyticStyle
If Benjamin is skilled at helping clients gather data about the
problem, analyze it, and decide its relative importance,
he is using a catalyticstyle. Working from this style, Benjamin
would help the client make an evidence-based
diagnosis to identify intervention options and choose solutions.
He would help the client focus on the who, what,
why, when, where, and how related to the problem. In short,
when Benjamin uses a catalytic style, he pushes the
client to generate solutions based on the data. Results from an
organization-wide attitude survey could provide
impetus for management to make changes.
ConfrontationalStyle
When Benjamin calls attention to discrepancies between the
client’s professed values and how the client puts them
into practice, he is using a confrontationalstyle. You can
probably think of examples when someone claims he or
she values one thing, like being a good listener or seeking input
in decision making, yet does the complete opposite
when interacting with other people by interrupting or failing to
get input. Consultants using a confrontational style
point out these contradictions so clients can see the
discrepancies and decide if they want to change.

For example, Benjamin might say to a client, “You told me you
were a good listener, yet you constantly interrupted
and talked over people during the meeting. What’s up with
that?” This particular style can be highly effective at
targeting and changing dysfunctional behaviors of individuals
and groups during the OD process.
PrescriptiveStyle
When Benjamin listens to the client’s problem, collects the data
the client requires, makes sense of the data from his
own experience, and presents the client with a solution or
recommendation, he is using a prescriptivestyle. This
style is commonly used in OD, although it is not the most
effective, because it tends to cast the consultant in the
expert or pair-of-hands role. Consultants working from this
style may assume that clients lack the skill, knowledge,
or objectivity to effectively diagnose and solve problems. In
reality, this is rarely the case. Consultants can be
“experts” without driving the process and knowing when
expertise is needed. This style is similar to the information
specialist and advocate roles speci�ied by Lippitt and Lippitt
(1986).
TakeAway3.2:Types,Roles,andStylesofODConsultants
Consultants can be internal to an organization (permanent, full-
time employees) or external
(temporary and working for multiple organizations).
Consultants often play one of three roles, including the expert,
pair of hands, or collaborator.
Functioning in a collaborative mode is considered the most
effective role because it creates
mutuality and accountability with the client.
Consulting roles can also be understood along a continuum of

nondirective to directive. The closer
the consultant gets to directive roles, the more she or he will be
functioning as an expert.
Consultants also have different ways of intervening that include
acceptant, catalytic, and
prescriptive styles.
3.3CompetenciesofODConsultants
What does it take to do OD consulting well? In addition to
following a change model (such as one introduced in
Chapter 2) and an action research process (to be discussed in
Chapter 4), a consultant must master certain
competencies. This section pro�iles these competencies using
the example of a hypothetical consultant named
Bridget.
Block’sCompetencies
Recall Peter Block, one of the most in�luential scholars of
consulting. In his classic book, FlawlessConsulting, �irst
published in 1981, Block (2011) identi�ied two competencies
essential for consulting: being authentic and
completing the business of each consulting phase.
BeingAuthentic
When Bridget frankly and respectfully communicates her
experience with the client and leverages commitment
through communication and trust, she is being authentic.
Authenticity means Bridget addresses issues directly with
the client. When the client is defensive or uncooperative, she
confronts the behavior in a way that does not alienate
the client. Being authentic requires Bridget to give honest

feedback, help the client save face in dif�icult situations,
and provide coaching as needed. Clients will come to rely on
her ability and willingness to identify the “elephant in
the room” if she can learn to do it tactfully and respectfully.
Building a trusting relationship with clients centers on a
consultant’s ability to be authentic. This involves the
consultant asking clients whether they trust his or her
con�identiality, addressing any doubts clients have about
working with the consultant, and raising issues related to
distrust when they arise. Without trust, it will be dif�icult
to appear authentic.
As a personal example of being authentic, I was working for a
new leader and received feedback that, at speaking
engagements, he was leaving a negative impression about our
organization. I knew I had to raise the issue in a
respectful and helpful way. Sharing the feedback required some
risk, since our working relationship was new. The
encounter went something like this:
I said, “Part of my job is to make sure you’re successful. I’m
hearing great things about you in the halls. I’ve also
received feedback from multiple sources that when you make
public speeches about our organization, your message
is too gloomy. What do you think about adjusting the tone in
future speeches?”
He looked a bit surprised at �irst, and then we talked about
what changes he might make. The next speech he made
was impeccable and re�lected favorably on both him and our
organization. Being direct and respectful of clients is
almost always appreciated, because they want to be effective. It
also builds trust.
CompletingtheBusinessofEachPhase

The other requirement for �lawless consulting, completing the
business of each phase, means a consultant follows
the planned change process using the action research model.
This model was brie�ly introduced in Chapter 1 and is
the subject of Chapter 4. It means approaching the OD process
by contracting with the client, collecting data on the
problem, sharing feedback from the data analysis, identifying
and implementing an appropriate intervention, and
evaluating the results.
Technical,Interpersonal,andConsultingSkills
SonjaPacho/Corbis
Honinginterpersonalskillsinvolves
�indingwaystoconnectwiththeclientand
theclientsystem.
Being authentic and completing the business of each phase are
important but are not enough to be an effective
consultant. As Block (2011) observed, consultants also need
technical, interpersonal, and consulting skills, each of
which are discussed in the following section using a consultant
named Miguel.
TechnicalSkill
The discipline-speci�ic knowledge Miguel brings to the
consulting relationship is known as technicalskill. OD is a
technical skill in itself, but each consultant has a unique blend
of technical skills in other areas. Cummings and
Worley (2009) suggest these include an understanding of
organizational behavior, individual psychology, group
dynamics, management and organization theory, research

methods, comparative cultural perspectives, and
functional knowledge of business.
For example, Miguel might have expertise in banking and
�inancial organizations that will be invaluable when
consulting with clients in similar industries. Having appropriate
technical expertise is necessary if you are to help a
client. What are your technical skills?
InterpersonalSkill
Miguel’s ability to engage, communicate, and develop a mutual
relationship with his client is known as interpersonal skill.
Consultants form relationships with a variety of individuals and
groups and need �lexibility, tolerance, respect, and adeptness
to
maintain these relationships. The role of a consultant is largely
developmental: Miguel must meet the clients where they are,
not
where he thinks they should be. By demonstrating personal
charisma, presence, and integrity, Miguel increases the
likelihood
that clients will want to work with and please him.
It is also helpful for Miguel to pay attention to his own reaction
to
the client. It is likely that others in the organization experience
the
client similarly, whether negative or positive. Miguel can
identify
important teachable moments for the client by being attuned to
these subtle signals and acting on them.
The following interpersonal skills for effective consulting have
been
adapted from Burke (1992):

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

weaknesses? What would you add to the list?
ConsultingSkill
OD practitioners take their clients through a multistep
process—known as action research—that begins the
moment they meet. Consultingskill requires mastering each step
of the action research process. Developing
consulting skill is a daunting goal, but this book is devoted to
helping you achieve it. Maintaining that skill is a
lifelong endeavor that requires ongoing learning and personal
development.
Freedman and Zackrison (2001) identify four areas of
consulting skill: interpersonal, technical, consulting, and self-
management. Table 3.3 offers brief descriptions of these
competencies.
Table3.3:Consultantskills
Interpersonal Technical—businessor
functionspeci�ic
Consulting Self-management
Confrontation
Risk-taking
ability
Collaboration
Con�lict
management
Relationship
building
Engineering
Project

management
Planning
Marketing
Manufacturing
Personnel
Finance
System analysis
Analysis and
diagnosis
Strategic and
implementation
planning
Change management
Evaluation
Core values
articulated
Self-con�idence
Self-awareness
1. Control and
in�luence
needs
2. Need for
personal
contact
3. Need to
belong
4. Need for
prominence
Freedman and Zackrison (2001) caution that experience is not

necessarily equated with competence, but rather
one’s capacity as a consultant to learn from experience. They
recognize three types of consulting experience,
including experience dealing with similar issues, experience at a
speci�ic organization level, and experience with
similar organizations or industries. Potential clients may ask
about any one of these areas when assessing a
consultant’s skill and competence.
BalancingResponsibilityintheConsultant–ClientRelationship
Earlier, the collaborator role was identi�ied as one of Block’s
three key roles for consultants. An ability to balance
responsibility in the consultant–client relationship is a key
competency in this collaborator role. It begins with a
mutual agreement that there is a 50–50 split in responsibility
between consultant and client.
TipsandWisdom
“Let’s hire a consultant so we have someone to blame.”
—David Bigelow, retired law enforcement of�icer who pursued
art full time upon retiring in 2001. His
paintings, drawings, and etchings have a whimsical quality that
reveals life’s truths.
This advice, although perhaps cynical, serves as a warning:
Avoid clients who need a scapegoat or want to
dump their problems in someone’s lap. OD consulting centers
on building mutual, collaborative
relationships with clients. It is most effective when the client
owns the problem and shares responsibility
for authorizing, implementing, and maintaining the planned

change. Thus, its success hinges on effectively
balancing a consultant’s responsibilities with those of the
client.
As discussed, effective OD consultants have strong
interpersonal skills, with a heavy dose of emotional
intelligence,
patience, tact, and tenacity. Sometimes you have to trust your
intuition about what your client is really committed to.
Paying attention to your feelings—and those of your client—
will yield valuable insights. How is the client working
on the problem? Is there ownership? Accountability? Are there
signs of resistance? Is the client getting appropriate
support from upper management? If you sense that the client is
reluctant to own the problem and share
responsibility for the solutions, you need to directly and quickly
identify and address the underlying issues.
Holding a client equally responsible for the change helps ensure
that your own needs are being met in the consulting
relationship. Block (2011) noted that it is easy for consultants
to fall into a “service mentality” (p. 16) at the expense
of their own needs. It is fair for you to expect access to and
support from the organization, as well as inclusion
among the team and validation that your work is having an
impact.
Block (2011) recommends that you assess the balance of
responsibility you and the client are taking in the OD
engagement by completing the checklist in Table 3.4. If you
discover that you are always required to take the lion’s
share of responsibility or have very little responsibility, it is
time for a frank conversation with the client and
renegotiation of expectations.
Table3.4:Checklisttoassessthebalanceofresponsibility

Clienthasmajor
responsibility;consultanthas
little
50–50shared
responsibility
Consultanthasmajor
responsibility;clienthaslittle
De�ine the initial
problem
Decide whether to
proceed with the project
Select the dimensions to
be studied
Decide who will be
involved in the project
Select the method
Clienthasmajor
responsibility;consultanthas
little
50–50shared
responsibility
Consultanthasmajor
responsibility;clienthaslittle

Do discovery
Funnel the data and
make sense of it
Provide the results
Make recommendations
Decide on actions
Source:AdaptedfromBlock,2011,p.36.
TakeAway3.3:CompetenciesofODConsultants
Consulting guru Peter Block held that being authentic and
completing the business of each phase
are key to effective consulting.
Effective consulting competencies also include technical,
interpersonal, and consulting skills.
Balancing responsibility in the consultant–client relationship
helps assure support and
accountability in the OD process.
3.4Contracting
When our hypothetical consultant Miguel meets with the client
to learn about the problem and de�ine the
parameters of their working relationship, he is contracting. Also
known as “gaining entry,” contracting can be
initiated by the client contacting Miguel or vice versa, or a third
party can connect him and the client. Once Miguel
and the client are in contact, he immediately begins negotiating

the boundaries of the project and building a
relationship based on trust and openness.
This initial process eventually culminates in a meeting to draw
up the contract (see Figure 3.2). Miguel’s sheer
presence at the �irst client meeting is an intervention (Schein,
1988b), meaning that Miguel’s presence alone
in�luences change, whether it is a change in behavior, attention
to the problem, resistance, or readiness to commit to
and implement change. This is true throughout the consultation.
Because of this, it is essential that Miguel conduct
himself with integrity from the instant he begins working with a
client. He must be conscious of his every move and
statement during this initial meeting.
Figure3.2:Exampleofaconsultingcontractonleadershipdevelopme
ntfor
midlevelmanagers
Thissamplecontractbetweenaclientandconsultantshowsthelevelof
detailrequiredfor
eachofthekeyelementsofcontracting.
Since the consulting relationship depends on trust, the ability to
put a client at ease and quickly establish an open
relationship is critical to a consultant’s success. Clients may be
initially suspicious or resentful of a consultant,
especially if hiring someone like Miguel was not their idea or if
he was hired to address a problem that they have not
been able to solve. The image Miguel presents will have a direct
impact on the outcome of the contracting, so he
must be prepared, poised, and positive.

Fuse/Thinkstock
NegotiatingawrittencontractforOD
consultingprotectsboththeclientand
consultantandkeepstheprocessontrack.
Additionally, Miguel must be authentic. If a consultant is
dishonest, exaggerates his skills, or tries to manipulate
clients, he can expect problems related to trust and satisfaction
with his work.
As discussed, each consultant develops a preferred style; it will
be helpful to identify yours. Are you good at small
talk? Can you identify something the client is interested in and
talk about it? What can you ask about the business to
show your concern and learn more about the organization? What
can you share about your previous projects? Even
though you may have a preferred style of consulting, you may
have to adjust it to best accommodate the client or the
situation.
It is also a good idea for Miguel to make time for the client to
ask him questions about his background, style, and
other issues of import to the client when he initiates a
consulting relationship. Often, consultants provide a written
biography or description of services that can help the client
understand what they offer. These considerations are
important to keep in mind so they can put their client at ease.
Once that is accomplished, a consultant can move to
the next steps of contracting.
KeyElementsofContracting
When Miguel and his client have agreed to engage in a
consulting
relationship, it is a good idea to detail that agreement in writing

in
the form of a contract. Block (2011) identi�ies key elements of
contracting that can serve as a guideline for writing up a formal
contract of engagement. Each aspect will be considered and then
an
example shared.
BoundariesofAnalysis
During the initial entry or shortly thereafter, Miguel should
clarify
the problem or issue to be addressed by creating a simple
problem
statement that des cribes what he intends to do. In effect, this
creates boundaries of analysis. For example, he might wind up
with
a simple statement such as:
The purpose of this OD engagement is to address retention
problems of diverse employees at entry- and mid-level
management.
The statement may also include information on what will not be
addressed. For example:
Thisprojectwillnotaddressnonmanagerialpositions.
TipsandWisdom
Establishing boundaries of analysis requires correctly
identifying the primary client (and it may not be the
person who initiated the consulting relationship). Here are some
tips to help ensure you have established
clear boundaries:
Make sure you can identify the primary client. Ask questions

until you are certain.
Understand who serves to bene�it from the consulting:
management, employees, customers?
Establish clear expectations. Take time to discuss what you
need and expect as a consultant and
give the client a chance to do the same.
Know when to walk away from a project. Projects that hold
little interest and do not fall within
your expertise are compromised from the start. Projects that
have wavering support and resources
are also risky.
Set an expectation for ongoing feedback to ensure the
consulting stays on track and meets
expectations.
ProjectObjectives
Once the boundaries of analysis are clear, Miguel is ready to
generate project objectives. These might include solving
technical or business problems (business objectives); creating
new opportunities for the organization (business
objectives); teaching clients how to solve a problem for
themselves the next time it arises (learning objectives);
improving how the organization manages itself (business or
learning objectives); changing the culture (business or
learning objectives); or other issues relevant to the client
(Block 2011).
UsefulInformationtoSeek
Once the boundaries of analysis and pro-ject objectives are
determined, Miguel should seek out data relevant to
solving the issue. Information sources will be fully discussed in

Chapter 4, but generally there are at least three
types of information that will be particularly useful to
consultants. These include technical data, people’s attitudes,
and roles and responsibilities (Block, 2011). During
contracting, Miguel should identify the information he needs
and how he intends to retrieve it (e.g., surveys, interviews, and
so forth).
TheConsultant’sRole
Earlier in this chapter we discussed the different types and roles
of consultants. Usually, a consultant’s role is
negotiated during the contracting process. In addition to
determining if Miguel will serve in an expert, pair-of-hands,
or collaborative role, he and the client also need to agree on a
mutual partnership in which the client is accountable
for the process and outcomes. As the consultant, Miguel is
responsible for creating a process that allows the client to
address problems. The client is accountable for providing the
resources, support, and incentives for the change. If
the client does not want to assume responsibility for the
process, Miguel will want to carefully consider whether he
should continue the project. This is also a good time to explain
that he may play different roles that range from
nondirective to directive.
TheProducttoBeDelivered
Next, Miguel should specify the product or service the client
can expect him to provide; for example, a report,
con�lict mediation, or coaching. He should work to be very
speci�ic about the deliverables to avoid problems later.
Here is an example of speci�ics from a contract related to
recruitment and retention of technical employees:
Conduct a survey on retention issues.

Interview employees who have left the company.
Benchmark best recruitment and retention practices at
competing companies.
Analyze collected data and provide recommendations in a report
by a speci�ic date.
TheSupportandInvolvementaConsultantNeedsFromtheClient
Block (2011) calls support and involvement from the client “the
heart of the contract for the consultant” (p. 63).
With this in mind, Miguel should describe in detail what he
needs from the client for the project to succeed.
Examples might include one-on-one meetings with certain
employees, access to organization records, clerical
services, or managerial support. A budget for the project should
also be developed at this stage. In addition, Miguel
and the client should agree on a process for requesting approval
for additional funds if necessary.
TheTimeFrame
Next Miguel should specify the time line of the project,
including its start date, major milestones, and end date. It can
be useful to establish a Gantt chart (Figure 3.3), particularly for
long, complicated projects. Similar to the budget, the
time line should be reviewed regularly to make sure the project
is on track.
Figure3.3:ExampleofaGanttchart
BelowisanexampleofasimpleGanttchartovera7-
monthperioddetailingtypical
stakeholdersandactivitiesofanODintervention.Aconsultantcouldt

akeeachintervention
andmakeamuchmorespeci�icchartbyweekandactivity.
TheCon�identialityExpectations
Maintaining con�identiality and integrity promotes a strong
collaborative relationship. External consultants may
have more �lexibility with con�identiality than internal
consultants because they can refuse to share information
should higher management demand it. Internal consultants are
in a tougher position and might be pressured to
share data collected on a problem with someone higher up in the
organization. Both internal and external
consultants should negotiate how data will be used up front. A
consultant will lose trust quickly if organization
members perceive that con�identiality has been breached.
Writing con�identiality expectations into the contract will
help avoid misunderstandings and problems later.
TheAgreementfortheClienttoProvidePostinterventionFeedback
Asking the client to provide feedback on the project after the
consultant leaves or once the project is �inished can be
a powerful accountability motivator for the client. It also gives
the consultant a means of self-evaluation and
providing evidence of his or her consulting skills to future
clients.
ContractingEthics
Ethics guide one’s activities as a consultant, including at the
contract stage. Chapter 1 introduced OD’s code of ethics
as put forth by the International Society for Organization

Development and Change. The code emphasizes quality of
life, health, justice, dignity, win–win outcomes, holistic
perspectives, and participative decision making. Gellerman,
Frankel, and Landenson (1990) recommend the following values
to guide OD practice:
Promote quality of life.
Enhance health, human potential, empowerment, growth, and
excellence.
Provide freedom and responsibility and give people choice in
the process.
Advocate justice.
Pursue dignity, integrity, worth, and fundamental rights of all
stakeholders.
Seek all-win outcomes.
Conjure authenticity and openness in relationships.
Adopt a holistic, systemic perspective, mindful of all
stakeholders.
Invite wide participation in the process.
Freedman and Zackrison (2001) distinguished between OD
consultants and what they termed “techspert
consultants” (p. 179) who function in the expert role. These
functions are contrasted in Table 3.5.
Table3.5:ODconsultantsversustechspertconsultants
ODconsultants Techspertconsultants
Participative
Exploratory and experimental
Empower leaders and organization members
Work in isolation
De�initive, con�ident, and decisive about solutions
Maintain control

Freedman and Zackrison (2001) consulted the International
Council of Management Consulting Institutes to
develop their code of ethics. Notice how many of these values
pertain to the contracting stage:
preserving con�identiality
creating realistic expectations
avoiding any type of commissions, bribery, or kickbacks from
third parties
accepting only assignments that you have the skill and
knowledge to perform
creating contracts for services
refraining from recruiting client employees for alternative
employment without the client’s knowledge
holding other consultants accountable for meeting ethical
standards (Freedman & Zackrison, 2001).
Tucker (2006), in an article about forging successful consulting
relationships between clients and consultants,
advocated a relationship that values integrity, communicates
with openness and completeness, holds the client’s
objectives paramount, respects time and its constraints, and uses
contracts.
CaseStudy:EthicalScenariosfortheODConsultant
Evaluate the following scenarios based on the ethics
information presented in this chapter.
Scenario1: You are contacted by a company that needs some
help with implementing a process you have
little familiarity with. Although you could probably learn it,
you would not be up to speed within their time

frame. Still, you could really use the extra income right now.
What are the implications for deciding not to
do it? What are the implications for deciding to do it?
Scenario2: Another consultant contacts you and offers you a
chance to take a consulting job that she
could not take because she is booked during the time the client
needs a leadership development program.
You are very skilled at this type of consulting and have not
worked for this company before. At the close of
your discussion, the consultant who has offered you the gig asks
for 10% of your fee for the consulting
since she referred you. What is your next step?
Scenario3: You are working with a chemical company to
reorganize its production process, which
currently releases signi�icant greenhouse gas emissions into the
environment. During the initial planning
with the client, you suggest that the action research team be
expanded to include some other stakeholders
in the process, such as elected of�icials and community
advocates. What competing interests and values
might you expect to encounter from this diverse stakeholder
group?
Scenario4: You have completed a consulting engagement with a
company that conducted survey research
and prioritized key actions needed to change the culture. Over
the past year, the company has worked to
address its top four priorities from the survey research. You are
now at a point that organization members
can continue the work without your regular involvement, and
you are negotiating to maintain your
consulting services only intermittently. You were really
impressed with one of the members of the action
research team. He approaches you after a meeting on-site and

tells you how much he enjoyed working with
you and learning from you. He asks if you have any positions
open in your consulting �irm. Is it ethical for
you to consider hiring this person? Why or why not? If you
were to proceed, what is your responsibility to
the client organization?
TakeAway3.4:Contracting
Key elements of contracting include determining the boundaries
of analysis, identifying project
objectives, deciding on the kind of information you are seeking,
articulating your role as a
consultant, specifying the product you will deliver to the client,
identifying the support and
involvement needed by the client, noting the time frame,
discussing con�identiality, and planning
for postintervention feedback.
SummaryandResources
ChapterSummary
Consultants help, in�luence, and persuade their clients about
how to go about OD and change, although they
have no formal organization power.
There are several different types of clients during a typical OD
process, including contact, intermediate,
primary, unwitting, indirect, and ultimate. It is imperative that
the consultant correctly identify the primary
client.
Consultants can be internal to an organization (permanent, full-
time employees) or external (temporary and
working for multiple organizations).
Consultants often play one of three roles: expert, pair of hands,

or collaborator. Functioning in a
collaborative mode is considered the most effective role
because it creates mutuality and accountability with
the client.
Consulting roles can also be understood along a continuum of
nondirective to directive. The closer the
consultant gets to directive roles, the more she or he will be
functioning as an expert.
Consultants also have different ways of intervening that include
acceptant, catalytic, and prescriptive styles.
Peter Block held that being authentic and completing the
business of each phase are key to effective
consulting.
Effective consulting competencies also include technical,
interpersonal, and consulting skills.
Balancing responsibility in the consultant–client relationship
helps assure support and accountability in the
OD process.
Key elements of contracting include determining the boundaries
of analysis, identifying project objectives,
deciding on the kind of information you are seeking,
articulating your role as a consultant, specifying the
product you will deliver to the client, identifying the support
and involvement needed by the client, noting
the time frame, discussing con�identiality, and planning for
postintervention feedback.
1. The chapter began with a vignette about problems in the
shipping department of QuickCo. See if you can
recall a situation from your experience that would have
bene�ited from having an OD consultant assist. What
would you have done as a consultant?
2. Recount a time you or someone close to you participated in

an OD intervention led by a consultant. What
were the outcomes and consequences? How well did the
consultant do, based on the principles presented in
this chapter?
3. This chapter has pro�iled different roles and styles
consultants employ when working with clients. What are
some of the similarities and differences in these approaches to
working with clients?
1. Look up some job descriptions of consultants and identify the
themes, salaries, and competencies required.
2. Develop a biography and description of your technical,
interpersonal, and consulting competencies (current
or desired). Be sure to include a paragraph explaining the role
and style you use for consulting.
3. Prioritize the technical, interpersonal, and consulting
competencies you need to learn.
4. Review the results of your consultant style inventory score.
What insights did you gain from this
assessment?
5. Develop a consulting contract.
AdditionalResources
Media
WhatShouldConsultantsDo?
http://www.youtube.com/watch?v=vv3p6lMdC7c(http://www.yo
utube.com/watch?v=vv3p6lMdC7c)

WebLinks
International Council of Management Consulting Institutes, an
international membership organization and a
network of the management advisory and consultancy
associations and institutes worldwide.
http://www.icmci.org/(http://www.icmci.org/)
Institute of Management Consultants USA, the certifying body
and professional association for management
consultants and �irms in the United States.
http://www.imcusa.org(http://www.imcusa.org)
Association of Management Consulting Firms, founded in 1929
as AMCE, the Association of Management Consulting
Engineers.
http://www.amcf.org(http://www.amcf.org)
Consulting and Business Associations, an online consulting
resource.
http://www.consulting-business.com/consulting-business-
associations.html (http://www.consulting-
business.com/consulting-business-associations.html)
KeyTerms
acceptantstyle
A consulting style characterized by neutral, nonjudgmental
support of clients that helps them relax and let down
their defenses so problems can be solved more easily.

authentic
When you directly, frankly, and respectfully communicate your
experience with the client and leverage
commitment through communication and trust, you are being
authentic.
catalyticstyle
A consulting style that uses data and evidence to help clients
diagnose and solve problems. The data usually
provide impetus for action or change.
collaborativeconsulting
The role a consultant assumes when the client wants a mutual
partnership in solving problems and is willing to
share responsibility from the beginning to the end of the
project.
confrontationalstyle
A consulting style that challenges inconsistencies between what
a client professes to value and what he or she
actually does in practice.
consultants
People who practice OD (or another technical skill) and
combine it with technical, interpersonal, and consulting
skills to help clients resolve issues and problems.
consultingskill
http://www.youtube.com/watch?v=vv3p6lMdC7c
http://www.icmci.org/
http://www.imcusa.org/
http://www.amcf.org/
http://www.consulting-business.com/consulting-business-
associations.html

The skill a consultant develops that requires mastering each step
of the action research process.
contracting
The process of determining the parameters of a working
relationship with a client. This is best put in writing
according to the guidelines offered in this chapter.
directive
A hands-on style of consulting in which the consultant is
assertive about telling the client what to do or readily
gives the answer.
expertrole
The role a consultant plays when a client wants someone with
expertise who will tell them what to do. The client
has a low level of involvement in the OD consulting in these
situations.
externalconsultant
Consultants who have a temporary relationship with the client
or organization and are outsiders.
internalconsultant
Consultants who are employed by the client organization. They
are insiders with a permanent relationship with
the organization.
interpersonalskill
A consulting competency to engage, communicate, and develop
a mutual relationship with clients.
nondirective
A hands-off style in consulting that involves patience,
observation, and asking questions to subtly guide clients to

�ind a solution on their own.
pair-of-handsrole
The role a consultant plays when the client wants a task
completed and seeks someone else to do it. The client
generally takes little interest in the problem or the process and
simply wants the issue resolved.
prescriptivestyle
A consulting style that involves listening to the client’s
problem, collecting the data the client requires, making
sense of the data from the consultant’s own experience, and
presenting the client with a solution or
recommendation.
technicalskill
Discipline-speci�ic knowledge that consultants bring to the
consultancy. OD is one of these types of skills.
Consultants are found in every �ield, from medicine to
technology to agriculture.
4 Action Research: The Planning Phase
MontyRakusen/Corbis
LearningObjectives
Describe action research and compare Lewin’s model to those
of at least two other OD theorists.
State the importance of a consideration of levels of analysis in
the planning phase.

Identify the steps of the planning phase.
Describe different types of research and research
methodologies.
Discuss �ive methods of gathering organization data, including
strengths and weaknesses of each.
Discuss methods of analyzing the data collected.
Explain how to prepare for and manage the feedback meeting,
including how to address
con�identiality concerns and manage defensiveness and
resistance.
CatherineYeulet/iStock/Thinkstock
Followingtheactionresearchprocess
helpedtheQuickCoshippingdepartment
resolveemployees’interpersonalcon�licts.
InChapter3,theQuickCovignetteprovidedoneexampleofhowODco
nsultantswork.Jack,theinternalODconsultant
atQuickCo,ledhisclients,Ned(theshippingsupervisor)andSarah(th
emanufacturingmanager),throughanaction
researchprocesstosolvecommunicationandteamworkproblemsinth
e shipping department. Action research, the
processODconsultantsfollowtoplanandimplementchange,followst
hreegeneralphases:
1.
Planning.Dataarecollected,analyzed,andsharedwiththeclienttodet
erminecorrectiveaction.
2. Doing.Actionistakentocorrecttheproblem.

3. Checking.
Theeffectivenessoftheinterventionisevaluated,andthecycleisrepe
atedasneeded.
LetusreturntotheQuickCovignetteandexaminetheactionresearchst
epstaken.NedandSarahmetwithJackto
outlinehowemployeeswereateachother’sthroats,lettingcon�lictsf
ester,andfailingtoworkwelltogether.Their�irst
meetingincorporatedtheirplanningphase.AsexplainedinChapter3,
thisinitialmeetingis known as contracting.
Duringthemeeting,Jackaskedquestionstobeginidentifyingtheroot
causeofthecon�licteddepartment.Thethree
struckacollaborativeagreementandworkedtodeviseaplanforresolv
ingtheissues.
The�irstactiontheytookwastocollectdata.Jackreviewedtheperfor
mancetrendsandcustomercomplaintsfromthe
shippingdepartmentandinterviewedtheemployeesindividuallyabo
uttheirviewsontheproblems.
TheplanningalsoinvolvedanalyzingthedataJackcollectedtoarrivea
tadiagnosis.WhenhemetwithNedandSarah
to share feedback from the data collection, Jack presented his
analysis, noting: “Ned and Sarah, you have a
dysfunctionalteamonyourhands.Theyhavenogroundrules,collabor
ation,ormeansofhandlingcon�lict.Everyone
needstobemoreunderstandingandrespectfultowardeachother.Itwo
uldalsobehelpfultocreatesomeguidelinesfor
howtheteamwantstooperateandmanagecon�lict.Ned,youalsoneed
totakeamoreactiveroleinresolvingissues.”
Jacklaidtheproblemsoutinamatter-of-
fact,nonjudgmentalway.Oncealltheanalyzeddatawerepresented,th
ethree
workedjointlytoplananinterventiontoaddresstheproblems.Theyag
reedtotakethegroupthroughafacilitated

processtoaddresscommunicationandteameffectiveness.Theyalsoa
greedthatNedwouldbene�itfromindividualized
executivecoachingtohelphimlearnbehaviorsthatwouldbemorepro
ductivefordealingwithcon�lict.
Thesecondphaseofactionresearch,doing,occurredwhenJack,Ned,a
ndSarahscheduledtheinterventionwiththe
shippingdepartmentandimplementedit.Theoutcomeoftheinter-
ventionwasatangibleplanforthedepartmentfor
howtobemoreeffective,includingspeci�icactionstheywouldtaketo
addresscon�lict.
The�inalphase,checking,involvedNed,Sarah,andJackcontinuing
to monitor the shipping department after the intervention. Ned
helpedthedepartmentupholditsnewgroundrulesonadailybasis
andcoachedemployeestohelpthemsticktotheplan.Healsoasked
for regular feedback on his own management skills as part of
his
ongoingcoaching.Ned,Sarah,andJackrevieweddepartmentaldata
on productivity and customer complaints and learned that the
timelinessandaccuracyofshippedordershadsigni�icantlyimprove
d.
Jack followed up a few months later by conducting individual
interviewswith shipping department members. He discovered
that
thesolutionshadbeenmaintained.Ifandwhennewcon�lictsariseor
new members join the team, it may be time to start the action
researchprocessoveragaintoaddressnewissues.
The QuickCo vignette demonstrates all three phases of the
action
research process. This chapter focuses on the �irst phase,
planning.
Chapters 5 and 6 provide a similarly detailed look at the second

and �inal phases, doing and checking, respectively. But before
turning to the planning phase, let us review action
research.
4.1AReviewofActionResearch
Chapter 1 de�ined OD as a process of planned change that is
grounded in a humanistic, democratic ethic. This
speci�ic process of planned change is known as action research.
De�iningActionResearch
Action research is a recurring, collaborative effort between
organization members and OD consultants to use data to
resolve problems. As such, it involves data collection, analysis,
intervention, and evaluation. Essentially, it is a
repeating cycle of action and research, action and research.
However, the words actionresearch reverse the actual
sequence (Brown, 1972), in that “research is conducted �irst
and then action is taken as a direct result of what the
research data are interpreted to indicate” (Burke, 1992, p. 54).
Moreover, the cycle yields new knowledge about the
organization and its issues that becomes useful for addressing
future problems. It thereby allows organizations to
improve processes and practices while simultaneously learning
about those practices and processes, the
organization, and the change process itself.
Action research provides evidence, thereby enabling a
consultant to avoid guesswork about what the issue is and
how to resolve it. According to French and Bell (1999):
Action research is the process of systematically collecting

research data about an ongoing system relative to
some objective, goal, or need of that system; feeding these data
back into to the system; taking actions by
altering selected variables within the system based both on the
data and on hypotheses; and evaluating the
results of actions by collecting more data. (p. 130)
ActionResearchIsaDemocraticApproachtoProblemSolving
Many theorists have characterized action research as democratic
and collaborative:
“Action research is a participatory, democratic process
concerned with developing practical knowing in the
pursuit of worthwhile human purposes, grounded in a
participatory worldview” (Reason & Bradbury, 2008,
p. 1).
“Action research is the application of the scienti�ic method of
fact-�inding and experimentation to practical
problems requiring action solutions and involving the
collaboration and cooperation of scientists,
practitioners, and laypersons” (French & Bell, 1999, p. 131).
“Action research approaches are radical to the extent that they
advocate replacing existing forms of social
organization” (Coghlan & Brannick, 2010, p. 6).
In addition, Coghlan and Brannick (2010) identi�ied broad
characteristics of action research to include:
Research inaction, rather than research aboutaction
A collaborative, democratic partnership
Research concurrent with action
A sequence of events and an approach to problem solving. (p. 4)
These de�initions are similar in that they all characterize action
research as a democratic, data-driven, problem-

solving, learning-based approach to organization improvement.
Can you recall a project in your organization that
involved members in a collaborative problem-solving mission?
Chances are it was action research, even if that
terminology was not used. Some other examples of how
organizations apply action research include a nonpro�it
organization that surveys donors or bene�iciaries before
engaging in strategic planning; a government department
that conducts a needs analysis prior to a training program; or a
corporation that conducts exit interviews before
initiating recruitment for positions. What other examples can
you think of ?
ActionResearchHelpsClientsBuildCapacityforFutureProblemSol
ving
Although typically guided by a consultant, action research
engages key stakeholders in the process. Indeed, its
effectiveness depends on the active engagement and
accountability of the stakeholders. As discussed in Chapter 3,
OD consultants are responsible for in�luencing the action
research process while at the same time exercising
restraint to avoid solving the problem for the client.
An example can illuminate how action research helps the client
build problem-solving capacity. Suppose an
organization introduces a process of assimilating new leaders
when they join it (action). The organization hires a
consultant to survey team members about this initiative’s
effectiveness (research). The client and the consultant
collaborate to develop the survey and analyze the results. What
is learned informs continued assimilation of new
leaders and the way the process gets modi�ied (action). The

client is initially engaged to learn the process so that it
can be repeated in the future without the help of a consultant.
The action research process helps the organization
collect, analyze, and apply data to make informed decisions and
not waste time and money on inappropriate
interventions. Helping organizations become pro�icient at the
action research process is the outcome of effective
consulting, since the best consultants work themselves out of a
job.
WhoInventedThat?Plan,Do,CheckCycle
Although often attributed to quality guru W. Edwards Deming,
the plan, do, check cycle was created by
Walter A. Shewhart of Bell Labs. Shewhart was an American
physicist, engineer, and statistician who was
one of the originators of statistical quality control that preceded
the total quality movement.
Although this plan, do, check model seems to suggest that
planning change is a neat, orderly, and rational
process, in reality it can be chaotic, shifting continually in
response to unexpected developments and
outcomes. Nevertheless, learning the action research process
equips consultants with a proven method for
navigating such shifts as they work with clients on organization
challenges.
ModelsofActionResearch
Recall from Chapter 1 that action research originated with the
work of Kurt Lewin, the father of OD. Lewin’s model
(1946/1997) includes a prestep (in which the context and
purpose of the OD effort are identi�ied), followed by
planning, action, and fact �inding (evaluation). Several models
of action research generally follow Lewin’s, although

the number and names of steps may vary. See Table 4.1 for a
comparison.
Table4.1:ComparisonofactionresearchmodelstoLewin’soriginalm
odel
Lewin’s(1946/1997)original
actionresearchsteps
Cummings&Worley
(2009)
Coghlan&
Brannick(2010)
Stringer(2013)
Figure4.1:Plan,do,checkaction
researchcycle
Theplan,do,checkmodelofactionresearch
waspopularizedbythetotalquality
movement.Thecontemporaryresearchcycle
hasmoresteps,althoughessentially
accomplishesthesamestepsofdiagnosing
anddesigning(plan),implementing(do),and
evaluating(check).
Lewin’s(1946/1997)original
actionresearchsteps
Cummings&Worley
(2009)

Coghlan&
Brannick(2010)
Stringer(2013)
1. Prestep to determine context
and purpose
1. Entering and
contracting
1. Prestep 1. Look
a. Gather relevant
information
b. Build a picture;
describe the situation
2. Planning 2. Diagnosing 2. Planning action 2. Think
a. Explore and analyze
b. Interpret and explain
3. Action 3. Planning and
implementing change
3. Taking action 3. Act
a. Plan
b. Implement
c. Evaluate4. Fact �inding (evaluation) 4. Evaluating and
institutionalizing change
4. Evaluating
action
The model of action research used in this book has three phases

of
planning, doing, and checking, paralleling Lewin’s (1946/1997)
model (Figure 4.1). Each phase has substeps derived from
multiple
action research models:
1. Planning (the discovery phase)
a. Diagnosing the issue
b. Gathering data on the issue
c. Analyzing the data gathered
d. Sharing feedback (data analysis) with the client
e. Planning of action to address the issue
2. Doing (the action phase)
a. Learning related to the issue
b. Changing related to the issue
3. Checking (the evaluative phase)
a. Assessing changes
b. Adjusting processes
c. Ending or recycling (back to the planning stage) the
action research process
The action research steps may look simple, and it may appear
that
planning change is a neat, orderly, and rational process. In
reality,
though, it can be chaotic, political, and shifting, with
unexpected
developments and outcomes.
TakeAway4.1:AReviewofActionResearch

organization members and OD
consultants to use data to resolve problems.
The three phases of action research are planning, doing, and
checking.
A variety of OD theorists follow Lewin’s model, although the
number and names of steps may vary.
4.2Planning:TheDiscoveryPhase
When beginning an OD intervention, the initial steps taken to
identify the problem and gather data about it are
known as planning. The planning phase is a diagnostic one. The
client and consultant work with other organization
stakeholders to study the problem and determine the difference
between desired outcomes and actual outcomes.
The discrepancy between what is and what should be is known
as a performance gap. For example, if an
organization aspires to be �irst in quality in the industry but
lags behind in second or third place, that would be the
performance gap between being �irst versus second or third.
Organizations perform gapanalysis to assess reasons for a gap
between reality and the desired outcome. The
performance gap idea can also be applied to yourself. Let us say
you aspire to a managerial position but have not
achieved it. Upon analyzing the gap, you realize you lack the
training and experience to attain the position. If you
decide to eliminate the gap, you might enroll in a graduate
program, attain a leadership certi�icate, or �ind a mentor
to help you attain your goal. Consider a performance gap you
have experienced and complete the chart in Figure 4.2.
What other performance gaps have you experienced?

Figure4.2:Performancegapanalysis
Usethischarttoassessyourownperformancegap.Identifyadesiredre
ality—perhaps
runninga5K.Next,honestlynoteyourcurrentreality:Canyourunarou
ndtheblock?Run
orwalkforamile?Onceyoudeterminethegap,�illoutthemiddlecolu
mnwithspeci�ic
actionstepstomoveclosertoyourgoal—
howwillyouclosethegap?Todownloadan
interactiveversionofFigure4.2,clickhere
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llation/book/AUBUS370.14.1/{pdfs}�ig_4.2.pdf)
.Pleasenotethatyouwillneedtoopenthe�ilewithAdobeAcrobattoen
ablethechart’s
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Bene�itsofthePlanningPhase
https://media.thuze.com/MediaService/MediaService.svc/constel
lation/book/AUBUS370.14.1/%7Bpdfs%7Dfig_4.2.pdf
Planning is a critical phase of OD, because poor plans will
result in poor outcomes such as �ixing the wrong problem,
wasting time and resources, and frustrating organization
members. The bene�its of good planning include setting
the OD process up for success through careful analysis and
diagnosis of the problem; engaging organization
members from the beginning in the processes of collaboration,
ongoing learning, and capacity building in the action
research process; and prioritizing issues.
TipsandWisdom
Time management guru Alan Lakein is credited with coining the

phrase “Failing to plan is planning to fail”
(as cited in Delaney, 2011). This advice is to be heeded in OD.
Planning is key to effective interventions.
How does Lakein’s quote apply to your experience?
LevelsofAnalysis
Before we delve into the steps of the planning phase, we should
understand the location of the OD effort; that is, the
level at which the action research might occur. This is known as
the levelofanalysis. The OD effort might focus on
the individual, group, organization, or system. Each level comes
with its own issues, needs, and appropriate
interventions. These levels, along with appropriate
interventions, were discussed in Chapter 2.
All levels of analysis, from the individual to the system, face
similar issues. Cockman, Evans, and Reynolds (1996)
categorize organization issues according to purpose and task,
structure, people, rewards, procedures, or technology:
Purpose and task refers to identifying the reason the
organization exists and how its members advance its
mission.
Structure pertains to reporting relationships and how formal and
informal power relations affect the
organization.
People issues relate to relationships, leadership, training,
communication, emotions, motivation and morale,
and organization culture.
Rewards systems include �inancial and non�inancial incentives
available for performance and perceived
equity among employees.
Procedures include decision-making processes, formal
communication channels, and policies. These are an
important category for analysis.

Technology involves assessing whether the organization has the
necessary equipment, machinery,
technology, information, and transport to accomplish its tasks.
Table 4.2 identi�ies questions to ask about each area of
Cockman, Evans, and Reynolds’s levels of analysis.
Table4.2:Cockman,Evans,andReynolds’sorganizationalissuesand
diagnosticquestions
Organizational
issues
Diagnosticquestions
Purpose and
tasks
What business are we in?
What do people do?
Structure Who reports to whom?
Where is the power?
Organizational
issues
Diagnosticquestions
People How are relationships managed?
What training is provided?
Who communicates with whom?
How do people feel?
How high is motivation and morale?

What is the culture?
Rewards What are the incentives to perform well?
Procedures What are the decision-making procedures?
What are the channels of communication?
What are the control systems?
Technology Does the organization have the necessary
equipment, machinery, information
technology, transport, and information?
Source:Cockman,Evans,&Reynolds,1996.
Identify a performance gap you are aware of personally or
professionally and see if you can answer Cockman, Evans,
and Reynolds’s questions.
StepsinthePlanningPhase
The steps in the planning phase include identifying the problem
area, gathering data, analyzing the data, sharing
feedback, and planning action. These steps illuminate the core
problem and identify key information for making an
intervention.
Step1:PreliminaryDiagnosisoftheIssue
When an OD process is initiated, it is imperative that the
problem be correctly de�ined. Doing so involves a process
of diagnosis. A consultant’s job is to push the client to identify
the root cause of the problem, rather than its
symptoms. Considering the QuickCo example, it might have
been easy for Ned to decide to put the department
through a customer service training based on the symptoms of
late, erroneous orders. Had he done so, however, it

likely would have worsened matters, because no amount of
customer service training would �ix the department’s
interpersonal con�licts, poor communication, and ineffective
con�lict resolution. It may take intensive study and data
collection to accurately diagnose a problem, but doing so is well
worth it.
The action research process begins by de�ining a problem that
warrants attention. Consultants must ask good
questions to illuminate a problem’s source. They can then move
on to the next step in the planning phase. Questions
a consultant might ask a client include:
“What do you think is causing the problem?”
“What have you tried to �ix it?”
“How has this attempt to �ix the problem worked?”
“What has been stopping you from fully addressing this issue?”
In addition to asking questions to pinpoint the issue, consultants
must ask questions about who else will be involved
in the OD effort. Also, as Chapter 3 explored, a consultant
needs to uncover the client’s expectations regarding the
duration of the project and make sure the client is willing to
assume an equal responsibility for outcomes.
�ilo/iStockVectors/GettyImages
CollectingdataensurestheOD
processisevidencebased.
Good questioning enhances one’s authenticity as a consultant.
How have you diagnosed problems in your
organization? Have you ever misdiagnosed an issue? What were
the consequences?

Step2:GatheringDataontheIssue
Once QuickCo diagnosed the team’s lack of communication and
interpersonal effectiveness as the source of the
problem, it was ready to collect information to inform next
steps. This is known as datagathering. Data can be
gathered in many ways. The most common data collection
methods in action research include interviews,
questionnaires, focus groups, direct observation, and document
analysis.
Jack, the internal QuickCo consultant, took several steps to
better
understand the problem. He reviewed performa-nce trends and
customer complaints, interviewed department members, and
relied on
his own working knowledge and observations of the department
to
formulate a solid understanding of the issues. What types of
data have
you gathered to better understand organization issues? Methods
of data
gathering are explored in detail in the next section of this
chapter.
Step3:AnalyzingtheData
Once data has been collected, it must be turned into something
meaningful and useful for the client. Data collected to provide
information about a problem is not useful until it is interpreted
in ways that inform the issue and provide clues to
possible interventions. For example, a survey is not helpful
unless it is examined within the organization’s context.
Data analysis will be more fully de�ined in the data analysis
methods section later in this chapter.

Step4:SharingFeedbackwiththeClient
Once data has been collected and analyzed, a feedbackmeeting
is scheduled in which results are presented to the
client. In the QuickCo example, Jack met with Ned and Sarah to
share his analysis. Feedback meetings require careful
planning to keep the consultancy on track. Consultants should
decide on the key purpose and desired outcomes for
the meeting. For example, do they want the client to better
understand the problem? Agree on a course of action?
Confront some issues affecting the problem? Sharing feedback
with the client involves determining the focus of the
feedback meeting, developing the agenda for feedback,
recognizing different types of feedback, presenting feedback
effectively, managing the consulting presence during the
meeting, addressing con�identiality concerns, and
anticipating defensiveness and resistance.
Step5:PlanningActiontoAddresstheIssue
The last step of the planning or discovery phase is to plan the
action that will be taken. This planning might occur
during the feedback meeting, or you might schedule a time at a
later date to give the client an opportunity to digest
the data analysis and feedback. The outcome of the planning is
to design the activity, action, or event that will be the
organization’s response to the issue. This is known as an
intervention. The type of intervention selected depends on
the organization’s readiness and capability to change, the
cultural context, and the capabilities of the OD consultant
and internal change agent (Cummings & Worley, 2009). The
intervention will also target strategy, technology and
structure, and human resource or human process issues. The
consultant and the client will collaboratively plan the
appropriate intervention(s) to address the issue. Chapter 5 will

address interventions in detail.
TakeAway4.2:Planning:TheDiscoveryPhase
Planning is an opportunity to conduct a performance gap
analysis to examine the difference
between what is and what should be.
Bene�its of the planning phase include setting the OD process
up for success through careful
analysis and diagnosis of the problem, engaging organization
members from the beginning in the
process of collaboration, enabling ongoing learning and
capacity building in the action research
process, and prioritizing issues.
The levels of analysis include individual, group, organization,
and system. Issues to address at each
of these levels include purpose and task, structure, people,
rewards, procedures, and technology.
Planning is the �irst phase of action research and consists of
�ive steps: identifying the issue,
gathering data on the issue, analyzing the data, sharing feedback
with the client, and planning
action to address the issue.
4.3TypesofResearch
OD is a joint endeavor between the client and consultant that
includes data gathering and analysis. Involving clients
in the data collection process reinforces their commitment to the
OD process. The consultant’s role in this process is
to help the client focus on the root cause of the problem and to
organize the data collection and interpretation. A

consultant’s objectivity can be very helpful to clients,
enhancing their understanding of how they might be
contributing to the problem or how the issue plays out within
the broader organization context.
Einstein is credited with saying, “If we knew what it was we
were doing, it would not be called research, would it?”
(as cited in Albert Einstein Site, 2012). People conduct research
when they have questions that do not have obvious
answers. Depending on the question they wish to answer, there
are differing types of research.
BasicResearch
The word research might evoke images of people working in
labs, examining petri dish cultures, and making new
discoveries. This type of research is known as basicresearch,
and it generally creates or extends the knowledge
base of a discipline such as medicine, physics, or chemistry
through experiments that allow researchers to test
hypotheses and examine perplexing questions. Basic research
results in new discoveries and theories and includes
innovations like testing cures for cancer, establishing scienti�ic
laws such as gravity, or refuting previously held
beliefs such as the world being �lat. There are other types of
research beyond basic, and they vary based on the type
of question being asked.
AppliedResearch
When people seek to answer questions such as “What is the best
way to facilitate learning during change?” or “How
do we motivate employees to embrace new technology?” they
are usually seeking to improve practice within a
certain �ield. This is known as appliedresearch because its
results are germane to problems and issues within a

particular setting such as business. This type of research is
practical and helps people solve problems, but unlike
basic research, it does not necessarily yield new knowledge. OD
is applied research because it asks questions about
challenges that are unique to the individual organizational
context in which they are located.
ActionResearch
Action research explores speci�ic problems within a locality
such as an organization or community. It might ask
questions such as “How can we prevent employees from leaving
Company A at a rate 3 times higher than the
industry standard?” or “How can Hospital B implement an
electronic health record with minimal disruption to
patient care?” or “How can we lower poverty rates in
Community C?” As the name implies and we have already
covered, action research involves recurring cycles of study and
action on a problem within a speci�ic context. Action
research is participative because it usually involves members of
the organization.
OD generally engages in both applied research and action
research since it aims to improve practice (applied) within
a speci�ic context (action). When you engage in action
research, you are conducting a systematic inquiry on a
particular organization problem by methodically collecting and
analyzing data to provide evidence on which to base
your intervention. When people do research in organizations,
they are seeking not so much to generate new
knowledge (or cure diseases) as to improve the quality of
organization life. Action research is therefore a form of
applied research because it seeks to directly address
organization problems and respond to opportunities in ways
that improve the organization for all its stakeholders.

EvaluationResearch
People may also want to judge the quality of something like an
educational program, conference, or OD intervention.
Here they might ask, “How was the learned information
applied?” or “What was the most effective mode of delivery
of instruction?” or “What are people doing differently as a
result of the intervention?” This type of research is known
as evaluationresearch. Evaluation seeks to establish the value of
programs or interventions and judge their
usefulness. Evaluation can occur during the OD process,
especially when the process is being evaluated before,
during, or after the intervention. We will learn more about
evaluation research in OD in Chapter 6. Refer to Table 4.3
for further description of the different types of research.
Table4.3:Differenttypesofresearch
Basic Applied Action Evaluation
Contributes to
knowledge base in
�ield (basic, pure)
Experimental
Tests hypotheses
Seeks to answer
perplexing
problems
Improves practice
in discipline
(applied)
Seeks to describe,
interpret, or

understand
problems within
speci�ic settings
Will not
necessarily create
new knowledge
Addresses
particular, local
problem (action
research)
Systematic
inquiry
Addresses speci�ic
problem within
speci�ic setting
Often involves
participants
Focused on
practical
problems, social
change
Assesses value
Measures worth
or value of
program, process,
or technique
Judges
accomplishments
and effectiveness
Establishes
decision-making
basis
TakeAway4.3:TypesofResearch

Different types of research answer different types of questions.
These types of research include
basic, applied, action, and evaluation.
Basic research seeks to make new discoveries, test hypotheses,
and create new knowledge.
Applied research explores practical questions and seeks to
improve practice. It may not necessarily
create new knowledge.
Action research addresses particular problems within speci�ic
contexts, such as an organization. It
is also applied research because of its practical nature.
Evaluation research assesses the value of programs, processes,
or techniques and judges their
effectiveness.
4.4ResearchMethodology
In addition to the four types of research based on the types of
questions asked, research can also be classi�ied
according to the type of methodology that is used to collect
data. Methodology represents the overarching
philosophy and approach to collecting data.
QualitativeResearchMethodology
When seeking to understand “how” a phenomenon occurs or
unfolds (“How do leaders best develop?”) or inquire
into the nature or meaning of something (“How does
participation on a high-performing team affect individual
identity and performance?”), a qualitativemethodology is
appropriate. Qualitative methodology is described as
being “centered on understanding the meaning people have
constructed” (Merriam, 2009, p. 13) and as “an

umbrella term covering an array of interpretive techniques
which seek to describe, decode, translate, and otherwise
come to terms with the meaning, not the frequency, of certain
more-or-less naturally occurring phenomena in the
social world” (Van Maanen, 1979, p. 520).
Qualitative inquiry is not generally quanti�iable but rather
provides convincing evidence. Qualitative data are
generated from methods such as interviews, focus groups, or
observations that are commonly conducted as part of
the discovery phase of action research. Qualitative methods are
rooted in constructivistphilosophy—the idea that
people build meaning from experience and interpret their
meanings in different ways. For example, two people
would likely de�ine the meaning of life differently.
Qualitative research occurs within the social setting or �ield of
practice, and data collection is often referred to as
“�ieldwork” or being in the “�ield.” Qualitative approaches
can effectively address organization members’ everyday
concerns, help consultants understand and improve their
practice, and inform decisions. Examples of qualitative
questions asked in OD include: “Why are employees
dissatis�ied with Organization Y?” and “What speci�ic
concerns
do employees have about anticipated changes in the
organization?” Qualitative methodology uses techniques that
allow deep exploration of social phenomena through interviews,
observations, focus groups, or analysis of
documents.
QualitativeResearchCharacteristics
Qualitative research focuses on building meaning and
understanding about social phenomena. The researcher
(generally the consultant in OD) is the primary instrument for

data collection and analysis. This means that it is the
consultant who conducts interviews, focus groups, or
observations and then interprets or analyzes their meaning.
Interpretation is considered an inductiveprocess—that is,
meaning is inferred from the data through a process of
comparison, re�lection, and theme building. Unlike quantitative
methodology, where study participants are often
collected at random, qualitative participants are selected
purposefully and are individuals who can provide
informed accounts of the topic under study. For example, if a
consultant wants to know about the experiences of
new employees, he or she obviously needs to ask new
employees.
QualitativeAnalysisandResults
Qualitative analysis provides a detailed account of the
phenomenon. Direct quotations from participants and a full
depiction of the setting, issue, or individuals under study is
known as richdescription. The design of a qualitative
study is emergent and �lexible, meaning that the questions may
change as new insights are gained. For example, if
Sarah is conducting focus groups on issues faced by new
employees, a topic may arise that she wants to query future
groups about as she collects data.
QuantitativeResearchMethodology
When people want to know “how much” or “how many” of
something, they generally seek a quantitative
methodology. For example, a researcher might want to know:
“What are the percentage breakdowns of employee
satisfaction in Organization Y, from very dissatis�ied to very
satis�ied?” or “What is our organization’s productivity

rate compared to the industry standard?” Quantitative methods
assume there is one correct answer to a question.
This type of research yields statistical descriptions and
predictions of the topics under study.
Recall from earlier coverage in this book the process of survey
feedback, in which employees are given a
questionnaire about the organization’s management, culture, or
atmosphere. Surveys are regularly used in OD to
assess issues such as attitudes, individual performance, and
technology needs or to evaluate certain functions or
products. Surveys provide quanti�iable data, such as what
percentage of employees feel management is doing a good
job or what percentage of employees plan to look for other work
in the coming year.
QuantitativeResearchCharacteristics
Quantitative techniques include surveys, questionnaires, and
experiments that may involve testing with control
groups. For example, Team A might be trained on effective
team dynamics and facilitation procedures. Its
productivity and performance might then be measured against
Team B, which received no prior training.
Quantitative studies are carefully designed, and once data
collection begins, they are not changed. For example, if
Jonas was administering a survey to a population, he would not
change the questions halfway through data
collection. Samples in a quantitative study are random and
large. A corporation of 40,000 employees being surveyed
on their opinions about health bene�its would target a smaller
number of randomly selected workers to provide a
representation of what the majority of workers would likely
prefer.
QuantitativeAnalysisandResults

Quantitative data are analyzed using a deductive process in
which the numbers or statistics will be used to
determine an understanding of what is being studied. Assuming
a bene�its survey was conducted in the previous
example, the organization might learn that 60% of employees
prefer managed care, 40% want vision, and only 30%
want dental insurance. The company would use this information
to modify its bene�its packages.
Table 4.4 compares and contrasts qualitative and quantitative
methods.
Table4.4:Comparisonofqualitativeandquantitativeresearchmetho
ds
Comparison Qualitative Quantitative
Research
focus
Quality (nature, essence) Quantity (how much, how many)
Philosophical
roots
Phenomenology, symbolic interactionism,
constructivism
Positivism, logical empiricism, realism
Associated
phrases
Fieldwork, ethnographic, naturalistic,
grounded, constructivist

Experimental, empirical, statistical
Goal of
investigation
Understanding, description, discovery,
meaning, hypothesis generating
Prediction, control, description, con�irmation,
hypothesis testing
Comparison Qualitative Quantitative
Design Flexible, evolving, emergent Predetermined, structured
Sample Small, nonrandom, purposeful, theoretical Large,
random, representative
Data
collection
Researcher as primary instrument, interviews,
observation, documents
Inanimate instruments (scales, tests, surveys,
questionnaires, computers)
Analysis Inductive, constant comparative method Deductive,
statistical
Findings Comprehensive, holistic, richly descriptive Precise,
numerical

TakeAway4.4:ResearchMethodology
Qualitative research methodology is used to understand how a
phenomenon unfolds or occurs.
This approach usually investigates how things occur and seeks
to create meaning and
understanding about the topic under study.
Quantitative research methodology is focused on measuring how
much or how many of something.
Its goal is to interpret statistics so they are meaningful within
the context they are derived from,
such as an organization.
4.5ResearchMethods
Researchmethods are procedures used to collect data. They are
based on the type of research methodology used.
Methods typically used in OD are pro�iled in this section.
Interviews
A conversation facilitated by the consultant for the purpose of
soliciting a participant’s opinions, observations, and
beliefs is an interview. Interviews give participants the
opportunity to explain their experience, record their views
and perspectives, and legitimize their understandings of the
phenomenon under study (Stringer, 2013). The
interviews at QuickCo likely asked employees about
departmental problems, communication, leadership, and so
forth. Conducting interviews requires constructing questions
that best address the issues under investigation. For
example, Jack might have asked the QuickCo shipping

employees:
“What do you see as the top three challenges in the shipping
department?”
“Can you tell me about a speci�ic event that contributed the
problems you face today?”
“What has to change for you to be happy here?”
“What have you tried to resolve the problem?”
“What role have you played in the shipping department?”
“How likely are you to leave your position in the next year?”
Recording interviews can be useful, but make sure you have
permission from the participant (interviewee) and
prepare and test the recording equipment in advance. If you are
not able to record, you will want to take notes, but
this is not ideal since it distracts you from what the interviewee
is sharing.
Interviews have several strengths. They provide in-depth insight
into an interviewee’s opinions, attitudes, thoughts,
preferences, and experiences. Interviews allow the interviewer
to probe and pose follow-up questions. Interviews
can be done rapidly, particularly by telephone and e-mail, and
they tend to elicit high response rates.
Interviews also have several weaknesses, including that they
can be costly and time-consuming, especially when
done in person. Interviewees may answer in ways they think
will please the interviewer rather than tell the truth.
The quality of the interview is dependent on an interviewer’s
skill and ability to avoid bias and ask good questions.
To avoid bias, an interviewer should set aside expectations
about the problem and solutions and truly listen to what
the participants say during data collection. Interviewees may
lack self-awareness or forget important information
and thus fail to provide good data. They may also have

con�identiality and trust concerns. Data analysis can also be
time-consuming.
Questionnaires
A questionnaire is an electronic or paper form that has a
standardized set of questions intended to assess opinions,
observations, and beliefs about a speci�ic topic, such as
employee satisfaction. It is a quantitative method.
Questionnaires are also known as surveys, and one of OD’s
�irst interventions was survey research, as was discussed
in Chapter 1. Questionnaires measure attitudes and other
content from research participants. The results can be
quanti�ied, often to show statistical signi�icance of the
responses.
Questionnaires are commonly administered to employees to
inquire about the organization’s culture and climate, and their
satisfaction levels with their work, management, and
relationships.
Participants are usually asked to rate the questionnaire items
using
a Likert scale (described in Chapter 1). For example, they might
JakubJirsák/iStock/Thinkstock
Surveysandquestionnairesarecommon
datacollectionmethodsusedinOD.
rate an item such as “Management is concerned with my
welfare”
on a 5-point scale from “Strongly Disagree” to “Strongly
Agree.”
Questionnaires should feature clearly written questions that will
yield actionable information.

Questionnaires and surveys have several bene�its. They are
inexpensive to administer, especially if done electronically or in
groups. Software programs make surveys relatively easy to
develop
and distribute. Questionnaires provide insights into
participants’
opinions, thoughts, and preferences. They allow rapid data
collection and are gener-ally trusted for con�identiality and
ano-
nymity. Questionnaires are reliable and valid when well-
constructed and permit open-ended data to be collec-ted, as well
as
exact responses to direct questions.
Questionnaires and surveys also pose some challenges. They
should be kept short or participants may not compl-ete them.
Participants may answer in ways they think please
you instead of telling the truth. They may not respond to certain
items at all, especially if the wording is unclear.
Participants may not trust con�identiality, or may feel that the
survey is tedious; thus, the response rate may be low.
Finally, data analysis can be time-consuming for open-ended
items.
FocusGroups
A group of approximately eight to twelve participants
assembled to answer questions about a certain topic is known
as a focusgroup. Focus groups are similar to interviews, but
they are conducted collectively and facilitated by a
moderator. Developing targeted questions is important, as is
inviting the right people who possess insight and
experience relevant to the problem. Focus group sessions should
be recorded and transcribed verbatim, with
participants’ permission.

Focus groups are bene�icial for understanding participants’
thinking and perspectives, as well as for exploring new
ideas and concepts. Participants can generate new knowledge
and ideas, especially if they build off each other’s
remarks. Focus groups might also yield in-depth information
about problems or potential �ixes. They can offer
insight into the client organization’s relationships and
communications, and may provide an opportunity to probe
relationship issues. Focus groups are relatively easy to organize
and represent an ef�icient way to collect data from
several stakeholders simultaneously.
Focus groups also pose challenges. They might be expensive to
conduct if participants are brought in from multiple
locations. Finding a skilled facilitator can be dif�icult.
Participants may be suspect of the process and have
con�identiality concerns. Participants might also be
overbearing, negative, or dominant during the session, so adroit
facilitation is needed. If employees are angry or worried, their
emotions can dominate. Focus groups can also
generate voluminous �indings that may not be generalizable if
the participants are not representative of the
organization, or may not be relevant to the issue under
investigation. Finally, large amounts of data may be time-
consuming to analyze. Consultants should hone their focus
group facilitation skills, and resources for building this
competency are listed at the end of this chapter.
DirectObservation
Suppose Nina watches people, meetings, events, work
processes, or day-to-day activity in the organization setting
and records what she sees. Nina is undertaking
directobservation. This data collection method involves
recording

observations in the form of �ield notes. Stringer (2013) lists
typical observations made in action research:
Places: the contexts where people work, live and socialize,
including the physical layout
©Dave&LesJacobs/SpacesImages/Corbis
Records,texts,brochures,orwebsitesoffer
unobtrusiveaccesstoanorganization’s
informationandhistory.
People: the personalities, roles, formal positions, and
relationships experienced by participants
Objects: the artifacts in our contexts such as buildings,
furniture, equipment, and materials
Acts: the actions people take (signing a form, asking a question)
Activities: a set of related acts (e.g., facilitating a meeting)
Events: a set of related activities (e.g., putting on a training
session)
Purposes: what people are trying to accomplish
Time: times, frequency, duration and sequencing of events and
activities
Feelings: emotional orientations and responses to people,
events, activities, and so forth
Direct observation has several bene�its. It allows direct insight
into what people are doing, avoiding the need to rely
on what they say they do. Observation offers �irsthand
experience, especially if the observer participates in activities
they observe. This is known as participantobservation, and is
just as useful for observing what happens as for
what does not (for example, a manager may tell you she
involves employees in decision making, but you may
observe her doing the opposite). An observation might yield

valuable details that offer insight into the organization’s
context and politics that organization members may miss.
Observational data may also provide a springboard from
which to raise issues that people would otherwise be unwilling
to talk about.
Direct observation also poses challenges. It may be impossible
to determine a rationale for observed behavior. If
people know they are being observed, they may alter their
behavior. Observations may be clouded by personal bias
and selective perception. One must avoid over-identifying with
the studied group so that observations are objective
(this is especially challenging in the case of participant
observation). Doing observation can be time-consuming and
access may sometimes be limited, depending on the type of
organization. A consultant may have to sort through
observations that seem meaningless in relation to the problem.
Data analysis can also be time-consuming.
DocumentAnalysis
Document analysis involves reviewing relevant records, texts,
brochures, or websites to gain insight into organization
functioning, problem solving, politics, culture, or other issues.
Documents might include memoranda, meeting minutes,
records,
reports, policies, procedures, bylaws, plans, evaluation reports,
press accounts, public relations materials, vision statements,
newsletters, websites, and so forth. Most organizations have a
proli�ic amount of documentation, so using this type of data
requires a clear focus and purpose. For example, Jack, our
QuickCO
consultant, reviewed performance trends and customer
complaints
to better understand the shipping department’s problems. If Jack
was trying to help an executive improve communication skills,

he
might review his client’s e-mail correspondence to determine
how
effectively and respectfully the executive communicates. This
type
of data collection can signi�icantly inform the OD initiative.
Documents provide several advantages, including access to
historical data on people, groups, and the organization, as well
as insight into what people think and do. Document
analysis is an unobtrusive data collection method, which
minimizes negative reactions. Certain documents might
also prove useful for corroborating other data collected; for
example, Jack could compare the executive’s e-mail
communications with colleagues’ accounts collected through
interviews.
On the other hand, documents might provide little insight into
participants’ thinking or behavior, or might not apply
to general populations. They can also be unwieldy and
overwhelming to the action research process. Con�idential
documents may sometimes be dif�icult to access.
AdditionalDataSources
Although interviews, questionnaires, focus groups, direct
observation, and document analysis are the most
commonly used OD data sources, other sources of information
include the following:
Testsandsimulations: structured situations to assess an
individual’s knowledge or pro�iciency to perform a
task or behavior. For example, some organizations might use an
inbox activity to assess delegation skills

during a hiring process. Others use psychological tests to
measure ethics, personality preferences, or
behaviors. These instruments can be used in hiring, team
development, management development, con�lict
resolution, and other activities.
Productreviews: reviews of products or services from internal or
external sources. These can be useful for
addressing quality or market issues.
Performancereviews: formal records of employee performance.
These can be particularly useful for
individual interventions that are developmental or for
succession planning on an organization level.
Competitorinformationandbenchmarking: comparative analyses
of what competitors are doing regarding
the issue under exploration. Examples might include salary,
market, or product comparisons.
Environmentalscanning: analysis of political, economic, social,
and technological events and trends that
in�luence the organization now or in the future.
Criticalincidents: interviews that ask participants to identify a
speci�ic task or experience and pinpoint when
it went well, when it did not go well, and what they learned.
Critical incidents were �irst used in military
pilot training to identify and eliminate mistakes.
TakeAway4.5:ResearchMethods
An interview is a qualitative data collection method that solicits
opinions, observations, and beliefs
about a particular social phenomenon by asking the interviewee
to re�lect on questions.
Questionnaires are quantitative data collection instruments that
survey participants about their
opinions, observations, and beliefs according to a standardized
set of questions.
Focus groups involve eight to twelve participants who have

specialized knowledge or experience
relevant to an issue or problem in the organization and are led
through a series of questions and a
discussion about the issue by a consultant.
Direct observations are conducted by watching people,
meetings, events, work processes, or day-
to-day activities related to the OD issue or problem in the
organization setting.
Document analysis is the review of relevant records, texts,
brochures, websites, or other
documents to gain insight into the way the organization runs,
solves problems, manages politics,
develops culture, and makes decisions.
Multiple data sources exist to provide information when
engaging in OD. The key is to �ind the
methods that will yield the most useful data.
Matelly/cultura/Corbis
Aconsultant’sroleisnotjusttocollect
databuttoanalyzeitssigni�icanceand
present�indingstotheclient.
4.6MethodsofAnalyzingtheData
The most common types of research in OD are survey research
using quantitative methods, and qualitative inquiry that could
employ interviews, focus groups, observation, document
analysis,
or a combination thereof. As you recall, quantitative methods
are
used to determine “how much,” while qualitative methods are
used
to determine “how.” We have already identi�ied the many
methods

for collecting data; now, what do you do with it?
Data are simply bits of information until they are assimilated in
ways that tell a story or provide deeper understanding of a
phenomenon. For instance, employee responses on a survey
about
job satisfaction are just numbers on a page until interpreted.
Once
you know that 35% of respondents are only moderately
satis�ied
and are clustered within a certain division or job classi�ication,
then
you can begin to understand the scope of the problem and
consider
interventions.
A consultant’s job is to make sense of data and present them to
the client. Such a presentation should be in plain
language and in quantities that the client can easily manage. It
is advisable to involve the client and other relevant
organization members in the presentation of the analysis,
because doing so promotes buy-in, collaboration, and
accurate data interpretation.
There are several steps to analyze data effectively. These steps
differ depending on whether you are doing
qualitative or quantitative analysis. It is beyond the scope of
this book to fully train you as a researcher, so it is a
good idea to gain additional training and experience in this area
if it interests you. Until you gain experience with
data analysis, it is recommended that you partner with someone
who is an expert. If you have access to a university
or other organizational research team, this can be an easy way
of both �inding a research expert and developing a
research partnership. Such relationships help bridge theory and
practice and can be great opportunities to enhance

your learning. There are also some suggestions for continued
learning listed at the end of this chapter. The following
case study offers an example of how to ensure effective data
analysis.
CaseStudy:DataCollectionandAnalysisatJoltTransformers
Jo Lee of Design
Solution
s Consulting receives a phone call from Rex James of Jolt
Transformers. “Rex, what
can I do for you?” asks Jo, who had done work for Jolt in the
past. “Jo, we’ve got a problem with our
technicians,” Rex replies. “We can’t keep them. We hire them,
train them, and then they go work for the
competition for more money. Then the cycle repeats and it
seems we wind up hiring folks back again until
they can jump ship for more cash. Our management team thinks
they need more training.”
“What makes you think that, Rex?” Jo is skeptical that training
is the solution in this case. She listens a bit
longer and sets up a time to meet with Rex and his division
CEO. During the meeting Jo asks several
questions about the extent of the problem and what steps have

been taken to address it. The three agree
that the �irst step is to collect more data to understand the
scope of the problem. They decide on a three-
pronged approach: a survey of technicians, interviews with key
executives, and focus groups with selected
technicians. These methods will provide both quantitative and
qualitative data.
Over the coming weeks, Jo and Rex work on developing a
survey with a small team that includes technician
supervisors, technicians, and human resource personnel. They
administer the survey to each of the
company’s 75 technicians. The survey results show that 70% are
dissatis�ied with their careers at Jolt and
62% are planning on applying elsewhere in the next year. Jo and
Rex also develop interview questions for
the executives and a format and questions for the technician
focus groups.
During the interviews, it becomes clear to Jo that the executives
believe the problem is that the company
lacks a training institute for technicians. A couple of executives
want her to design a curriculum to train the

technicians more effectively. Jo is highly skeptical of this
assumption, however, because it runs counter to
what she is learning from the technicians. Other executives
express concern that the company is not
investing appropriately in the development and retention of its
workforce. Jo thinks they might be on to
something.
During the focus groups with technicians, Jo hears comments
such as:
“ThereisnoclearcareerpathatJolt.Theonlywaytoprogressistogoels
ewhere.”
“Thecompanydoesn’tseeminterestedinusatall.Theyjustwantustop
roduce—thefaster,thebetter.”
“Thecompetingcompaniesprovideamuchbetterorientationprogram
andconnectyouwithamentorto
helpyoudevelopyourskills.”
“It’samysterywhatyouhavetodotogetpromotedaroundhere.Instead
ofmovingup,youmightaswell
justplantomoveout.”

During the weeks that Jo collects and analyzes data, she
undertakes several measures to promote a
thorough, effective analysis. Each are discussed as tenets of
effective analysis and related to the case.
Designasystematicapproach;keepadatalog. Jo works with a team
from Jolt to design a process for
collecting quantitative and qualitative data. As the data
collection process unfolds, Jo keeps a detailed log
of the steps taken, especially for the interviews and focus
groups. These notes allow her to tweak the
interview and focus group questions based on what she learns.
When you use data logs, you can keep them in the form of a
journal or of�icial memoranda that highlight
key steps, decisions, and emerging themes. These logs might
include visual images of what you are
learning, such as models, system diagrams, or pictures. Write
notes to yourself as you analyze. Thoroughly
documenting your procedures is good practice and should allow
another person to step in and repeat your
data collection and analysis procedures.
Allowdatatoin�luencewhatislearned. Jo listens and watches
carefully as she collects data. Her

attention to detail offers her new insights into prevailing
assumptions at play in the organization. She is
able to add questions to the interviews and focus groups that
push participants to think more broadly
about the problem. For example, she pushes executives to
provide evidence that a training institute would
result in better retention of employees. When the executives
�ind they cannot provide clear answers, they
re�lect more deeply on the problem. Jo is also able to probe
more around the lack of development and
retention activities going on in the organization.
Constantlycomparequalitativedata.Constantcomparison earned
its name because it involves a
repetitive process of comparing themes that appear in the data
until the researcher arrives at a cogent list
that satisfactorily explains the phenomenon. This involves
careful study, note making, and looking for
patterns in the data. Having more than one set of eyes coding
the data and generating themes helps verify
the analysis.
In the case of Jolt, two themes were found from the data
analysis:

1. Technicians were dissatis�ied with:
a. lack of a career path and
b. level of support for advancement and growth.
2. Jolt was lacking:
a. long-term strategies for recruitment, retention, and
development of technicians; and
b. a strong orientation program.
The focus groups at Jolt began to produce themes and patterns
related to technicians’ lack of clarity
regarding career paths.
Often researchers will use technology to organize and compare
qualitative data, such as NVivo
(http://www.qsrinternational.com/products_nvivo.aspx?utm_sou
rce=NVivo+10+for+Mac)or the Ruona method
(Ruona, 2005). This involves repeatedly reading the transcripts
or other documentation and coding similar
issues. For example, if you continually noted issues related to
poor leadership, you would assign a code
such as “PL” to data that speak to that theme. As just
mentioned, this approach is known as constant

comparison. Constantly comparing the data allows you to
identify themes you might have previously
missed and also to validate recurring ones. You should pay
attention to all data, even data that do not make
sense or �it the emerging themes. Sometimes the outliers can
provide unique insight that proves to be
helpful in addressing the issue.
Codedata. Qualitative data are coded, and the codes will
eventually be grouped into themes. This involves
reading passages of the transcript and giving them codes. For
instance, Jo might have coded Jolt’s
transcripts with the following categories:
job dissatisfaction
leadership
mentoring
recruitment
socialization
learning and development issues
career progression
Once a series of themes has been established, it is best to
narrow these down to a more manageable three
to �ive ideas. Subgroups can be created under themes if

necessary. You will likely wind up with more
themes than you will ultimately want to share with the client.
The client needs to �ind the initial analysis
digestible and in accessible language. You may share additional
analysis as it becomes relevant to client
needs.
Document�indingsinanaccessiblewayfortheclient. Jo had dozens
of pages of data, including survey
results and interview and focus group transcripts. She distilled
this information into speci�ic key �indings
and recommendations that were not overwhelming to the client.
Findwaystodisseminate�indingswithotherpractitionersandresear
chers. The best research
happens in organizations, yet it rarely gets shared further once
the problem is solved. It is helpful to attend
professional meetings and conferences and to write up your
�indings for other practitioners to review. This
advances the OD knowledge base, promotes discussion, and
elicits new questions.
TakeAway4.6:MethodsofAnalyzingtheData
http://www.qsrinternational.com/products_nvivo.aspx?utm_sour

ce=NVivo+10+for+Mac
The approach to data analysis will depend on the methods used
to collect data.
The case study above offered a realistic account of how to
analyze data and modeled the following
tips: be systematic, keep a data log, let the data in�luence how
you learn and think about the
problem, constantly compare data, code the data, document the
�indings so the client can
understand them, and disseminate what has been learned.
4.7MethodsofSharingFeedback(DataAnalysis)WiththeClient
Like the action research process itself, feedback meetings
require careful planning to keep the consultancy on track.
As the consultant, you are responsible for identifying a
meeting’s key purpose and desired outcomes. For example,
do you want the client to better understand the problem? Agree
on a course of action? Confront some issues
affecting the problem?

Sharing feedback with the client involves determining the
feedback meeting’s focus, developing the meeting’s
agenda, addressing con�identiality concerns, recognizing
different types of feedback, presenting feedback effectively,
managing your consulting presence during the meeting, and
anticipating defensiveness and resistance. Each of these
will be discussed in this section.
DeterminingtheFocusoftheFeedbackMeeting
Several issues should be considered when planning a feedback
meeting. What outcomes do you seek? Do you want
to enhance understanding of the problem? Obtain agreement on
a course of action? Study the issue further? No
matter the meeting’s focus, there are at least two issues that
must be incorporated into the feedback meeting design:
1. data analysis presentation, and
2. discussion about the analysis and recommendations for future
action.
Keep your goals in mind as you plan the meeting. Structure it to
help the client move to the next phase. Allow time to
preset results, and engage the client in a conversation about the
data. In the spirit of authenticity, plan ways to solicit

feedback on your consultation during the meeting, perhaps by
asking, “Are you getting what you need from me?” “Is
this what you expected?” “What don’t you understand?” and so
forth.
DevelopingtheMeetingAgenda
As you create the agenda, you will want to split the meeting
into two parts: (a) data analysis presentation, and (b)
dialogue about the analysis and next steps. Block’s (1999)
meeting agenda format for a feedback session has been
adapted below:
1. Restate the original contract (described in Chapter 3).
2. State the purpose, outcomes, and process for the meeting.
3. Present the analysis and recommendations.
4. Present recommendations.
5. Ask for client reactions. For example, “Are you surprised by
anything I’ve said?” or “Is this meeting your
expectations?”
6. Be authentic. Ask the client during the meeting, “Are you
getting what you want?”
7. Make a decision on actions or next steps and assign tasks and
dates.

8. Address concerns and assess commitment.
9. Re�lect on whether or not your goals were met—conduct a
meeting evaluation and ask for feedback on your
consulting.
10. Close with support and a focus on the next steps.
Block (1999) suggests beginning with a compelling statement
that explains why the problem exists and outlines the
consequences if no action is taken over the short and long term.
Next, recommend solutions in collaboration with
the client, identifying anticipated bene�its.
Once the feedback meeting is completed, it is a good idea to
conduct a meeting postmortem. This involves evaluating
the meeting, re�lecting on what happened, soliciting input from
stakeholders, and seeking feedback on your
consulting.
AddressingCon�identialityConcerns
The agenda should be structured in a way that respects
con�identiality and anonymity, especially when presenting

data analysis. Consultants will invariably work with sensitive
data. They have an ethical obligation to simultaneously
provide the client access to the data but also protect the
con�identiality of the people who provided it. Consultants
should verify data usage and con�identiality expectations in the
contracting process outlined in Chapter 3. Detailing
such expectations in writing allows everything to be spelled out
should the client ever insist on viewing the raw
data.
Collecting sensitive data—such as an attitude survey in an
organization where there is high employee dissatisfaction
—requires taking appropriate research measures to protect the
con�identiality and anonymity of participants.
A consultant’s credibility can be compromised if he or she
lapses in the area of data con�identiality. It is especially it
is important to protect con�idential data when under pressure.
A colleague once worked as an external consultant
for a company whose president demanded raw data from an
attitude survey that was highly negative. He insisted
that he “owned” the data because he had paid for the survey.
The consultant quit and took the data with her rather
than violate her ethics and turn the data over to the president.
Protecting con�identiality will enhance your integrity

and authenticity. You can protect con�identiality by keeping
your promise not to share raw data, protecting your data
sources (e.g., completed surveys) by keeping them in a secure
location, and limiting access to the data only to
individuals whom you trust and who need to work with it.
RecognizingDifferentTypesofFeedback
Consultants recognize two broad types of feedback.
Positivefeedback involves sharing what the client is doing well
or what is working in the organization; negativefeedback
involves sharing what the client is doing badly or what is
not working.
It is important that the client hear the good things before the
consultant delves too deeply into the opportunities to
improve. However, not all positive feedback is helpful. Positive
feedback that undermines problem solving progress
is known as destructivepositivefeedback. Examples include
offering unwarranted praise or saying what the client
wants to hear instead of what the client needs to hear.
Destructive positive feedback is counterproductive to helping
clients solve problems because it convinces them they are doing
well enough and do not need to change. In contrast,
positive feedback that helps the client is

constructivepositivefeedback. Examples include describing what
the
client does well, what others appreciate, successes, and
behaviors that are helpful to others. What types of
destructive or constructive positive feedback have you
received?
Feedback that hurts the client is known as
destructivenegativefeedback. Examples include put-downs,
insults, or
nonspeci�ic criticism. This type of feedback is not helpful and
may even erode progress on the problem. Negative
feedback that helps the client is known as
constructivenegativefeedback. Examples include outlining what
the
client does badly, failures, behavior that hinders others,
behavior that is uncomfortable for others, and speci�ic
criticism. You can probably recall receiving both forms of
feedback and how they made you feel.
PresentingFeedbackEffectivelyDuringtheMeeting
It is a big job to analyze data and decide what to share at the
feedback meeting. It is likely that you will not present all of the
data

collected. Cummings and Worley (2009) suggest that feedback
is
most useful when it is relevant to the client and presented in an
©MontyRakusen/Corbis
Itisimportantthatconsultants
communicatedataandanalysiseffectively
totheirclients.Howmightcommunication
methodschangefromclienttoclient?
understandable and descriptive way. Clients also want
information
that is veri�iable, signi�icant, timely, and not overwhelming to
digest. You will want to ensure that data are balanced; include
the
success data in addition to the failure data. It is also helpful to
provide comparative data when available, such as cross-
department comparisons or benchmarking with other
competitors
or industries. You should also be willing to collect more data as
needed.
Consultants should present feedback in a way that enables the

client to hear it. Whether negative or positive, feedback should
be
constructive, or helpful to the client. Regardless of the feedback
shared, it must be delivered with respect; feedback should never
come across as hurtful or insulting. In all cases feedback should
be
based on available evidence—the data that have been collected
and
analyzed. Block (1999) urged that it is important to be assertive
and use language that is descriptive, focused, speci�ic, brief,
and
simple. Avoid language that is judgmental, global, stereotyped,
lengthy, or complicated.
ManagingYourConsultingPresenceDuringtheMeeting
This book has discussed the need for consultants to be authentic
and to complete each phase of action research.
How consultants give feedback is critical because it impacts
how well the client will hear and accept the message.
Striking an effective stance during feedback involves being
respectful, providing direct and constructive description,
and anticipating resistance. It is imperative to respect the client;
hurtful feedback is not productive, so make sure the
feedback is constructive and nonjudgmental.

In addition to being respectful, consultants should provide
direct, constructive description. This involves being
assertive and straightforward about the analysis. The feedback
meeting is not the time to timidly sugarcoat results,
particularly if they are negative. As discussed under types of
feedback, there are ways to constructively deliver
negative feedback. The way feedback is described will impact
the client’s receptivity to it. Describing a problem
clearly, directly, and convincingly helps the client absorb the
breadth and depth of the issue without getting
overburdened in detail. Include data that links to both the root
cause and the symptoms (often the presenting
problem). It can be helpful to highlight data in areas where the
client has the responsibility and authority to make
changes. It is also bene�icial to include data the client will
view as important that calls attention to problems where
there is a commitment to change. For instance, if the
organization has an ongoing initiative, such as work teams,
showing evidence of their activities and results can validate the
data and reinforce the value of the action research
process in implementing change.
It is also advantageous to anticipate aspects of the feedback that
are likely to cause client defensiveness and to come

prepared to defuse them. Do not allow the client to project
frustration about the data onto you—you are just the
messenger. You should also identify stakeholders who will be
absent from the meeting and plan to follow up with
them about the meeting’s content and outcomes. Be prepared to
deal with resistance as directly and constructively
as you presented the data, and invite the client’s assessment of
the problems and courses of action. Anticipating
what might come up during the meeting helps a consultant
effectively prepare for the unexpected.
ManagingDefensivenessandResistanceDuringtheMeeting
Clients often become defensive about feedback, particularly if it
is
negative or will require signi�icant changes. For instance,
suppose
Janessa was assessing an organization’s retention issues and had
TommL/E+/GettyImages
Resistanceistobeexpectedduring
feedback.Consultantsmustmoveclients
beyondresistanceandgetthemto

collaborateonthesolution.
data that women and people of color were leaving the
organization
due to discrimination and harassment. She might anticipate
denial
and defensiveness from a mostly White, male-dominated
organization. Having benchmarking data handy on how other
organizations have dealt with this issue would be one way
Janessa
could counteract this defensiveness.
In addition to being defensive, clients might also resist making
changes. A consultant might hear, “It will cost too much,” “We
don’t
have time to do this!” or “This will never work here.” A good
way to
respond to such sentiments is to push the client to consider the
cost of not adopting the solution; or a consultant might ask: “Do
you still want to be dealing with this problem 6 months from
now?”
“What are you afraid of ?” “What is your opposition really
about?”
Pursuing a strong line of questioning helps the client see faulty
reasoning in the resistance. Another tactic to thwart resistance

is to
invite those you anticipate will be the most resistant to attend
the
feedback meeting so they become involved in determining the
intervention and thus develop buy-in to the solution.
In addition to anticipating defensiveness and resistance,
consultants should make sure the feedback is as
constructive and descriptive as possible. For example, instead
of making negative, destructive, and vague statements
such as “Your management structure isn’t working,” a
consultant might say, “According to the survey, employees are
confused about lines of authority and the vision for the
organization.” The second statement is nonjudgmental and
provides more detail than the �irst. Also, clearly stating
authority lines and vision gives the client something tangible
to work on.
Consultants should determine feedback points that are likely to
cause defensiveness and anticipate in advance of a
meeting what form that defensiveness might take. They should
also develop questions that will help the client
express resistance or defensiveness. These might include: “What
points of the feedback concern you?” or “Are there
points you disagree with?” These questions will spark dialogue

on what aspects of the feedback are troubling to the
group. When a consultant detects defensiveness and resistance,
he or she should address it swiftly and tactfully,
because doing so enhances the consultant’s authenticity and
credibility.
Smoothly managing the feedback process is a key competency
of an OD consultant. The Tips and Wisdom box below
offers some tips to help you develop this skill.
TipsandWisdom
The client has a right to all the information collected (use of
data should be established in the
contracting process, including con�identiality).
Not all of the data collected will be used. It is a consultant’s job
to synthesize the data so that it is
useful to the client.
Include success data in addition to the “failure” data.
Offer constructive feedback with respect.
Respect con�identiality and anonymity. This enhances a
consultant’s integrity.
Include data that calls attention to the root cause as well as the
symptoms (often the presenting
problem).

Avoid sugarcoating data that the client may not want to face.
Highlight data in areas where client has responsibility and
authority to make changes.
Use data to highlight a manageable number of problems.
Include data the client will view as important; such data calls
attention to problems where there is
a commitment to change.
Avoid inundating the client with detail.
Avoid allowing the client to project frustration about the data
onto you.
Be prepared to deal with resistance.
Invite the client’s assessment of the problems and courses of
action.
Assessment:DevelopaForceFieldAnalysis
Instructions: Develop a force �ield analysis to anticipate
different types of support and resistance a
consultant might encounter during a feedback meeting. Click
here
llation/book/AUBUS370.14.1/{pdfs}sec_4.7.pdf)

to download an interactive version of this assessment.
Listthetopicoffeedback:
Driving forces of support for the analysis:
Resisting forces of support for the analysis:
TakeAway4.7:MethodsofSharingFeedback(DataAnalysis)Withth
eClient
When planning to give feedback to the client, a consultant must
decide the focus of the feedback
meeting based on the outcomes the client needs, such as better
understanding of the problem,
agreeing on a course of action, or deciding to study the issue
further.
Take time to develop a detailed meeting agenda that includes
the data analysis and presentation
and a conversation about the analysis and next steps.
Take efforts at every step of the research process to protect
con�identiality and make the client
comfortable.

Be cognizant of what type of feedback is shared. Consultants
must share both negative and positive
feedback with clients. They should avoid feedback that is
positively or negatively destructive, such
as saying what the client wants to hear, glossing over problems,
or sharing hurtful information.
Ensure that the information presented to the client is relevant,
succinct, veri�iable, timely, and not
overwhelming.
Consultants should strike a composed, con�ident, respectful,
and competent stance during
meetings. These are imperative in helping the client view the
consultant as an authoritative
partner.
Plan to defuse resistance and defensiveness during the meeting.
lation/book/AUBUS370.14.1/%7Bpdfs%7Dsec_4.7.pdf
SummaryandResources
ChapterSummary
organization members and OD consultants to

use data to resolve problems.
The three phases of action research are planning, doing, and
checking.
A variety of OD theorists follow Lewin’s model, although the
number and names of steps may vary.
Planning is an opportunity to conduct a performance gap
analysis to examine the difference between what is
and what should be.
Bene�its of the planning phase include setting the OD process
up for success through careful analysis and
diagnosis of the problem, engaging organization members from
the beginning in the process of
collaboration, ongoing learning and capacity building in the
action research process, and prioritizing issues.
The levels of analysis include the individual, group,
organization, or system. Issues to address at each of
these levels include purpose and task, structure, people,
rewards, procedures, and technology.
Planning is the �irst phase of action research and consists of
�ive steps: identifying the issue, gathering data
on the issue, analyzing the data, sharing feedback with the
client, and planning action to address the issue.
Different types of research answer different types of questions.
Types of research include basic, applied,
action, and evaluation.

Basic research seeks to create new knowledge based on
experiments and hypothesis testing.
Applied research explores practical questions and seeks to
improve practice. It may not necessarily create
new knowledge.
Action research addresses particular problems within speci�ic
contexts, such as an organization. It is also
applied research because of its practical nature.
Evaluation research assesses the value of programs, processes,
or techniques and judges their effectiveness.
A qualitative research methodology is used to understand how a
phenomenon unfolds or occurs. This
approach is usually interested in how things occur and seeks to
create meaning and understanding about
the topic under study.
A quantitative research methodology is focused on measuring
how much or how many of something. Its goal
is to interpret statistics so they are meaningful within the
context they are derived from, such as an
organization.
An interview is a qualitative data collection method that solicits
opinions, observations, and beliefs about a
particular social phenomenon by asking the interviewee to
re�lect on questions.
Questionnaires are quantitative data collection instruments that

survey participants about their opinions,
observations, and beliefs according to a standardized set of
questions.
Focus groups bring eight to twelve participants together to
collectively re�lect on questions that are posed to
the group, explore issues, and generate new ideas.
Direct observations are conducted by watching the operations
and interactions taking place in the
organization.
Document analysis is the use of relevant records, texts,
brochures, or websites to gain insight into the way
the organization runs, solves problems, manages politics,
develops culture, and makes decisions.
Multiple data sources exist to provide information when
engaging in OD. The key is to �ind the methods that
will yield the most useful data.
The approach to data analysis will depend on the methods used
to collect it.
The case study about data collection and analysis at Jolt
Transformers offered a realistic account of how to
analyze data and modeled the following tips: be systematic,
keep a data log, let the data in�luence how you
learn and think about the problem, constantly compare data,
code the data, document the �indings so the
client can understand them, and disseminate what has been

learned.
When planning to give feedback to the client, decide the focus
of the feedback meeting based on the
outcomes the client needs, such as better understanding of the
problem, agreeing on a course of action, or
deciding to study the issue further.
Take time to develop a detailed meeting agenda that includes
the data analysis and presentation and a
conversation about the analysis and next steps.
Make efforts at every step of the research process to protect
con�identiality and ensure the client is
comfortable.
Be cognizant of what type of feedback is shared. Consultants
must share both negative and positive feedback
with clients. They should avoid feedback that is positively or
negatively destructive, such as saying what the
client wants to hear, glossing over problems, or sharing hurtful
information.
Ensure that the information presented to the client is relevant,
succinct, veri�iable, timely, and not
overwhelming.
Consultants should strike a composed, con�ident, respectful,

and competent stance during meetings. These
are imperative in helping the client view the consultant as an
authoritative partner.
Plan to defuse resistance and defensiveness during the meeting.
1. Recount a time you participated in a data collection in your
organization. What was the method (interviews,
questionnaire, etc.)? How was the data used? How well did the
consultant do, based on the principles
presented in this chapter?
2. Re�lect on your presence as an OD consultant. What are
your key strengths and challenges?
3. Recall a time you facilitated problem solving with a group
(or anticipate a future opportunity). What were
your biggest strengths and challenges related to overcoming
resistance?
4. Identify an issue in your organization that warrants further
study using action research. Outline the types of
data you would collect, the participants, analysis, and how you
would go about sharing feedback with the

leadership.
5. Recommended reading for further learning about research
includes:
1. Identify a challenge in your organization and use the
questions in Table 4.2 to identify key variables.
2. Identify a problem in your organization and plan a data
collection process to examine the issue. Will you
take a qualitative or quantitative approach? Why?
3. Observation is an important skill to hone in OD. During the
next week, play the role of observer in the
organization of your choice. You may want to keep notes
following the chart of observations provided in this
chapter. See what you can learn, particularly the contradictions
between what people say and what they do.
What questions might you ask if you were an OD consultant?
AdditionalResources
Media
QuantitativeDataAnalysis

https://www.youtube.com/watch?v=4gIzG-
tB22o(https://www.youtube.com/watch?v=4gIzG-tB22o)
QualitativeDataAnalysis
https://www.youtube.com/watch?v=DRL4PF2u9XA(https://www
.youtube.com/watch?v=DRL4PF2u9XA)
WebLinks
Basics of Conducting Focus Groups (Free Management
Library), useful for planning, developing, conducting, and
immediately after the focus group session.
https://www.youtube.com/watch?v=4gIzG-tB22o
https://www.youtube.com/watch?v=DRL4PF2u9XA
http://managementhelp.org/businessresearch/focus-groups.htm
(http://managementhelp.org/businessresearch/focus-groups.htm)
50 Tips on Conducting Focus Groups, by consultant Susan
Eliot.

http://www.qualitative-researcher.com/wp-
content/uploads/2013/02/50-Tips-on -Conducting-Focus-
Groups.pdf (http://www.qualitative-researcher.com/wp-
content/uploads/2013/02/50-Tips-on-Conducting-Focus-
Groups.pdf)
FurtherReading
Creswell, J. W. (2013).
Researchdesign:Qualitative,quantitative,andmixedmethodsappro
aches. Thousand Oaks, CA:
Sage.
Maxwell, J. A. (2005).
Qualitativeresearchdesign:Aninteractiveapproach (6th ed.).
Thousand Oaks, CA: Sage.
Neuman, W. L. (2011). Basicsofsocialresearch (3rd ed.). Upper
Saddle River, NJ: Pearson Education.
Roulston, K. (2010).
Re�lectiveinterviewing:Aguidetotheoryandpractice. London:
Sage.
Wolcott, H. (2008). Writingupqualitativeresearch(3rd

ed.).Thousand Oaks, CA: Sage.
KeyTerms
appliedresearch
basicresearch
codedata
constantcomparison
constructivenegativefeedback
constructivepositivefeedback
constructivistphilosophy
datagathering
deductive
destructivenegativefeedback
destructivepositivefeedback

diagnosis
directobservation
documentanalysis
evaluationresearch
feedbackmeeting
http://managementhelp.org/businessresearch/focus-groups.htm
http://www.qualitative-researcher.com/wp-
content/uploads/2013/02/50-Tips-on-Conducting-Focus-
Groups.pdf
focusgroup
gapanalysis
inductiveprocess
interview

levelofanalysis
methodology
negativefeedback
participantobservation
performancegap
planning
positivefeedback
researchmethods
richdescription
qualitativemethodology
quantitativemethodology
questionnaire

5 Action Research: The Doing Phase
FancyCollection/SuperStock
LearningObjectives
Describe factors that in�luence a client and organization’s
readiness for change and promote
acceptance of interventions.
De�ine an OD intervention, including the different ways to
classify interventions and the criteria for
choosing an appropriate intervention.
Explain the consultant’s role in implementing OD interventions
and how to promote learning to
sustain them.
Discuss common issues related to monitoring and sustaining
change, including the reasons that
interventions fail, the ethics of the implementation stage, client
resistance, and strategies to sustain

change.
JimCraigmyle/Corbis
ThePublicHealthLeadershipAcademy
kicksoffafteranextensiveplanning
process.
Amajorland-grantuniversity 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
stakeholdersacrossthestate.OneoftheprojectsthatJames,thegrant’s
principalinvestigator,wantedtoinitiatewasa
leadershipacademyformid-
levelmanagerswithpotentialtoadvancetohigherlevelsofpublicheal
thleadershipinthe
state.Previousanalysesoftheorganization,includingsuccessionpla
nning,hadrevealedalong-termneedtoprovide
leadershipdevelopment.Thisneedlingered for many years
because public funding was not available to provide a
comprehensive program. The grant �inally created the
opportunity to deliver this much-needed program. James
contactedanexternalconsultant,Leah,tohelpplantheprogram.

Leahwasagoodchoiceforaconsultant;shewasanexpertinleadership
andprogramdevelopment.Thecontracting
meetingwassetup,atwhichLeahandJamesdeterminedthescopeofth
eproject:a1-yearleadershipdevelopment
academyforthestate’stop25leaders.Theobjectivesoftheprojectwer
e:
1.
pilotaprogramthatwillbecomeapermanentleadershipdevelopment
academyavailabletohigh-potential
leadersonanannualbasisand
2.
strengthentheleadershipcompetenciesandculturewithinthestatepu
blichealthworkforce.
AlthoughLeahwouldbetheleadconsultantandfacilitatorfortheproje
ct’splanningandimplementationoverthe�irst
2years,thegoalwastobuildcapacitywithinthestatesothatinternalfac
ilitatorscouldsustaintheprogramoverthe
longterm.
Theprojectrequiredanactionresearchapproachtocollectand
analyze initial data about the target population’s

needs, so the decision was made to conduct interviews and
surveys to determine the content of the leadership
developmentacademy.BasedonLeah’sexpertiseinleadershipdevel
opment,herrolewasde�inedaspartexpert,part
collaborativepartnerwithJamesandhisuniversity.Theprojecthada2
-yearimplementationtimeline,withthe�irst
yearfocusedonplanningandthesecondyeardevotedtoimplementati
on.Evaluationwouldbeongoingandcontinue
pastthesecondyearasanewcohortwasstartedinyear3,staffedbyinter
nalconsultants.
James and Leah met regularly to plan the program. This
involved
undertaking the planning or discovery phase of action research:
diagnosingtheissue,gatheringdataontheissue,sharingfeedback,
presentingthedataanalysis,andplanningtoact.
The “doing” phase of the action research process is the phase in
which the intervention is implemented. For the Public Health
Leadership Academy, this phase began in September with 25
particip-antswho had been competitively selected from across
the
state.Theparticipantsconvenedataresort,and the program was
kickedoffbyhigh-
levelstatepublichealthof�icials.The�irstsession

lasted3days.Duringthistime,theparticipantsreceivedresultsofa
leadershipstylesinventory,listenedtoinnovativelecturesandpanels
on leadership, planned an individual leadership project in their
districts, and engaged with each other to develop working
relationships.Theacademymetmonthlyforayearandfocusedona
rangeoftopicsrelatedtoleadershipthatwereprioritizedbasedon
priordatacollection.Thegrantprovidedforanevaluator,soformative
datawerecollectedateachmeeting.Thekickoff
oftheLeadershipAcademysetthestagefortheentireyear.Thebeginni
ngsetthetoneandexpectationsforwhatthe
participantscouldexpect.
Pythagoras is credited with saying, “The beginning is half the
whole” (as cited in Infoplease, n.d.), which inspired the
modern idiom “Well begun is half done.” This philosophy is
well applied to creating OD interventions; that is,
effective planning is key to successful change implementation.
Chapter 4 introduced the �irst phase of the action
research model, planning or discovery. This chapter focuses on
the second phase, doing or action. Action research
takes a data-based approach to diagnosing organization
problems so that interventions can be implemented to
permanently solve problems. We will return to the Public Health

Leadership Academy vignette throughout the
chapter to illustrate the action phase. See Table 5.1 to review
the action research model we are following in this
book.
Table5.1:Actionresearchmodel
Phase Action
Planning (the discovery
phase)
1. Diagnosing the issue
2. Gathering data on the issue
3. Sharing feedback (data analysis) with the client
4. Planning action to address the issue
Doing (the action phase) 1. Learning related to the issue
2. Changing related to the issue
Checking (the evaluative
phase)
1. Assessing changes
2. Adjusting processes

3. Ending or recycling (back to the planning stage) the action
research
process
This chapter will pick up at step 4 of the planning phase,
planning action to address the issue. Planning action
involves choosing and initiating interventions. Interventions
represent the action taken to resolve the problem, so
they link the action research model’s planning and doing
phases. A key activity in step 4, however, is to assess the
organization’s readiness for change.
5.1ReadinessforChange
Once you have worked with the client to plan for how the
organization will address the problem, you move into the
implementation phase. Ultimately, the measure of effective OD
is whether a change was made and if it stuck.
Implementing change is easier than sustaining it. Most people
have successfully dieted and lost weight; the hard
part is maintaining the weight loss and sustaining new behaviors
over the long term. The same is true for OD

changes.
Effectively initiating change depends on the organization’s
perception that the change is necessary and achievable
and that employees are willing to support change efforts
(McKay, Kunts, & Näswall, 2013). These variables signal
readinessforchange. Our understanding of change readiness
emerged from the �ields of health psychology and
medical studies (Block & Keller, 1998) and was later applied to
organizations.
WhoInventedThat?TheTranstheoreticalModelofHealthBehaviorC
hange
Models of change readiness originated in health care. The
transtheoretical model is considered the most
in�luential and was proposed by Prochaska and DiClemente in
1983 based on their research on smoking
cessation. A description of the model’s six stages follows.
1. Precontemplation (not ready). A state in which people are
unaware their behavior is problematic;
thus, there is no intention to take action. For example, suppose
Jacob is a manager with an
ineffective leadership style. Jacob is doing what he has

observed other managers doing and does
not give his performance any thought.
2. Contemplation (getting ready). A state in which people begin
to notice their behavior is
problematic and begin to weigh the pros and cons of their
continued actions (Lewin would refer to
this as “unfreezing”). For example, Jacob may start to notice
that he is not getting the results he
would like in his role as a manager. He can see that people do
not listen to him, and he starts to
ponder whether he should change his behavior.
3. Preparation (ready). A state in which people set intentions to
take action on the problem behavior
in the immediate future. For example, Jacob may decide to start
exploring different leadership
approaches and resources for improving, such as reading, taking
a class, or seeking mentoring
from managers whose behavior he wants to emulate.
4. Action (doing). A state in which people are engaged in
making visible modi�ications to their
behavior, usually by replacing the problematic behavior with a
new, more productive behavior

(this would be known as “moving” in Lewin’s terms). For
example, Jacob may decide to seek a
mentor, read some books, and take a leadership class. He may
also begin to implement some new
behaviors with his staff.
5. Maintenance (maintaining). A state of preservation in which
people have been able to sustain the
change for a time and are working to prevent relapse to the
former problematic behavior. For
example, Jacob may work to avoid slipping back to less
effective management behaviors, such as
failing to consult employees on important decisions. He may
also seek feedback and support from
his mentor.
6. Termination (ending). A state in which the new behavior has
become permanent (this would be
known as “refreezing” in Lewin’s terms) and people are not
tempted to revert to their old
problematic behaviors. By this point Jacob has integrated the
more participative leadership style
into his repertoire and does not even think about it anymore—it
has become a natural part of his
being. He may now be ready to help others make similar

changes (Prochaska & DiClemente, 1983).
Readiness for change is something individuals experience too,
though practitioners of OD must consider it on an
organization level. There are several dimensions to preparing an
organization for change.
DimensionsofChangeReadiness
Dimensions of change readiness involve gauging readiness and
understanding the dynamics of change.
GaugingChangeReadiness
Five dimensions in�luence the level of readiness to make
changes (Hord & Roussin, 2013). The �irst is whether data
exist that justify the change in a way that is relevant and
compelling to the organization. That the data exist is not
enough: They must be communicated clearly and compellingly
by management. Next, employees must be engaged in
ways that promote their input and ownership of the change. The
third dimension is to ensure that the scope and
impact of the change is appropriate for the organization’s

culture and strategy. Next, the structure of the change
should be clearly de�ined in terms of new roles, procedures,
and resources. Finally, the organization needs to
prepare to let go of past practices and �ind a reasonable
timeline and process for incorporating the change.
Table 5.2 offers a checklist of these dimensions, with examples
of each category. It can be used to gauge an
organization’s change readiness.
Table5.2:Readinessforchange
Readinessdimensions Readinessdimensionindicators
Relevance and meaning: Makeacompellingcaseforthe
changeoridentifythebene�itsoftheinterventions.
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 notbeing 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: Engageemployeessothereis
ownershipofthedesiredchange.
Employees express ownership for this
change.
Employees say they are willing to commit
energy and time toward this change.
This change was not driven by a top-down
mandate and one-way communication.
Employees think this change will make a
signi�icant difference and bring results.
Stakeholders are strong supporters of the
change.
There is shared responsibility and
collective trust for this change.
Readinessdimensions Readinessdimensionindicators

Scope and culture: De�inethescopeofthechangeandthe
impactitwillhaveontheorganization’sculture,current
mindsets,andbehaviors.
Advocacy for the change has been
sensitive to organization culture.
Employees mentally, emotionally, and
physically embrace the change.
Change leaders have been respectful and
sensitive in helping employees make
sense of the change over time.
The change aligns well with other
recently implemented interventions.
The change will not overwhelm
employees’ current workload.
The change leaders serve as role models
of the desired change.
Structure and coherence: Determinechangeleadershiproles,
structure,decisionmaking,andhowthechangewillinterface
withorganizationoperations.
The right stakeholders have participated
in the action research process and
decision making for this change.

Leadership has identi�ied key roles to
support the change moving forward.
Employees understand how future
decisions will be made around the change.
Appropriate resources have been
dedicated to implement the change (e.g.,
�inances, time).
The change is feasible and the right
resources are in place to sustain it.
Frequent and adequate communication
with feedback have guided the change.
Focus, attention, and letting go: Assesswheretofocus
attentionbasedondataanddeterminewhatcanbeletgoin
ordertocreateroomforchange.
Change leaders have determined what
past initiatives/practices can be let go in
order to make room for this change.
There is a reasonable timeline established
for this change to support its full
implementation.
There is clear understanding by
employees of what the change is going to
entail.

Employees understand the demand and
expectations for the change.
There are indicators established for this
change to identify early successes.
The appropriate technology tools are
available to support this change.
Source:AdaptedfromHord&Roussin,2013,p.38.
DynamicsofChange
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.
“Allchangeisbasedonlearning,andimprovementisbasedonchange”
(Hord & Roussin, 2013, p. 2). Most
change depends on learning. Hord and Roussin (2013) valued
learning for the way in which it enables
people to abandon nonproductive behaviors and replace them
with behaviors more supportive of the
intervention. They emphasized, “At the center of all successful

implementation of a change is the
opportunity for adults to come together and learn” (Hord &
Roussin, 2013, p. 2).
2.
“Implementingchangehasgreatersuccesswhenitisguidedthroughso
cialinteraction” (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. Individualshavetochangebeforeorganizationscanchange. If a
group or team is to successfully pull off
major changes, individuals need to possess the skills and
capacities to execute the necessary behaviors. Key
to facilitating individual change is giving individuals choice
and opportunities to in�luence the process and
their environment. The stages of concern model (Hall & Hord,
1984, 2011) discussed in Chapter 2 provides a
framework for helping individuals address concerns related to
change.
4.
“Changehasaneffectontheemotionalandbehavioraldimensionsofh
umans”(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.
Employeeswillmorereadilyacceptchangewhentheyunderstandhow
theinterventionwillenhancetheir
work. This belief ties in to adults’ need for learning to be
timely, relevant, and linked to their experience; it
also relates to the power of connecting individual and
organization goals.
6.
Theclientand/orleader’sroleistoengageemployeesindialogueabou
tthechangesasawayofpromoting
communicationandownershipofthechange. The more the change
is talked about and explained, the easier it
will be for employees to embrace.
FactorsIn�luencingReadinesstoChange
The client and the consultant can take steps to prepare the
organization for change. The �irst is to clearly

communicate the discrepancy between the status quo and the
desired state. In Chapter 4 this discrepancy was
de�ined as a performance gap. Employees will be prepared to
change when they understand why the change matters
(Madsen, Miller, & John, 2005). The second step is to bolster
employees’ con�idence that they possess the
knowledge, skills, and abilities to deal with the performance
gap and make the changes necessary to close it.
Employees will accept change when they perceive a match
between their skills and abilities and those needed to
diminish the performance gap (Chreim, 2006).
PerceivedAppropriatenessoftheChange
Readiness to change depends on several additional variables to
be in place if it is to succeed. When employees view
the change as appropriate to the organization, they will
generally support and readily embrace it (Holt, Armenakis,
Field, & Harris, 2007). For example, several years ago, most
organizations did not recycle; the idea of sustainability
was unfamiliar to both companies and communities. As global
awareness of pollution and environmentalism has
increased, so has the willingness to change our behavior. Today
it is common to have recycling bins throughout an
organization—you may even have one in your of�ice and at

home. Recycling is now embraced because we view it as
appropriate and necessary. Of course, even the most appropriate
change must be communicated well and visibly
supported by management.
CreatingaSharedVisionoftheChange
When management engages employees in planning for the
future, they are working to create shared vision (Hord &
Roussin, 2013). Sharedvision is the creation and articulation of
the organization’s desired future state that is
mutually agreed upon with employees. A shared vision may be
attained by completing a gap analysis that identi�ies
the discrepancy between the current state and desired state, as
discussed in Chapter 4. For example, when the
University of Georgia decided to change its platform for online
learning, it involved several stakeholders, including
students and faculty, in evaluating new platforms and providing
input in the �inal decision. By creating a shared
vision for what the university desired in terms of technology,
image, and learning experience, the OD intervention
signi�icantly increased buy-in when the new platform was

implemented. The more management can involve affected
employees in the change’s planning and implementation, the
more the entire organization will support the change.
LevelofManagerialSupportoftheChange
When management visibly advocates and adopts a change, it
sends a message to the organization about the change’s
necessity and importance (Holt et al., 2007). Management
serves as a model to employees, who watch to see
whether managers actually commit to the change. For example,
suppose an organization attempts to create a more
diverse and inclusive culture. Managerial support might include
articulating the organization’s commitment to
diversity at every opportunity, promoting a diverse range of
employees to key positions, hiring for diversity, and
rewarding behaviors that support diversity and inclusion.
ProvidingtheNecessaryResources,Support,andAssistance
Displaying managerial support goes beyond setting an example.
It also involves making sure the necessary
resources are provided to make the change (Hord & Roussin,
2013). Changing usually takes time, costs money, and
diverts energy from other activities. Creating a realistic budget

and providing resources up front helps ease the
transition. Employees may need moral support or training, the
organization may need additional resources, or the
community may need to be informed of the changes. It bene�its
the organization to provide sustained assistance as
needed during implementation. For example, the university that
changed its online learning platform had to develop
a strategy for communicating to faculty, staff, and students;
train for the implementation; obtain the ongoing
support of faculty and students working within the platform;
and hire staff to support the logistics of working with
the new technology.
LevelofOrganizationMembers’Self-
Ef�icacyforAdoptingtheChange
The perception that employees are skilled and competent
enough to successfully implement a change bolsters
readiness for it (Holt et al., 2007). It is often up to the OD
consultant and management to show employees that they
have the self-ef�icacy to adopt the change. For example, if an
organization were implementing a new technology, it
would be helpful to provide opportunities for employees to
experiment with it. Doing so would allow them to
discover that they have the skills to implement it. Investing in

professional development and professional learning is
a key way to build self-ef�icacy (Hord & Roussin, 2013).
Implementing and sustaining change requires acquiring new
knowledge, skills, and abilities. Such learning may boost
employees’ con�idence that they can adopt the new
changes, as well as enhance their understanding and acceptance
of the change.
LevelofOrganizationMembers’PersonalAttachmenttotheChange
Change is more likely to be accepted if management can show
that adopting it will positively impact individual
employees (Holt et al., 2007). Helping employees connect their
personal goals to company goals creates a winning
combination. This requires communication and support of
employee interests. For example, in a quest to become a
learning organization that readily captures and shares
information and knowledge, an organization might bolster
support of individual learning efforts by funding them,
providing in-house learning opportunities, or sponsoring
degree attainment and continuing education.
IncludingaSystemforCheckingandAssessingProgress

The change implementation should be evaluated throughout the
action research process (Hord & Roussin, 2013). As
Chapter 6 will discuss, to assure the intended outcomes are
being achieved, it is important to assess progress and
results during and after implementation. For example, in the
case of the university that implemented a new online
learning platform, a small pilot group of faculty users was
designated “early adopters.” The group received training
and used the new platform the semester before it was of�icially
implemented. This small, contained implementation
offered the opportunity to troubleshoot and eliminate bugs prior
to the large-scale implementation.
PromotingAcceptanceofInterventions
There are several ways the client and consultant can prepare the
organization for change and bolster acceptance of
the interventions. Acceptance is encouraged via effective and
ongoing communication with employees about the
change and by creating opportunities to participate in its
planning and implementation.
DevelopingaChangeCommunicationStrategy

Management communication about the change is key during
both the planning and implementation phases.
Communication not only informs and engages employees about
the change, it also helps diminish resistance to it.
Effective communication comes in many forms; management
should take advantage of as many as possible by using
media, meetings, and face-to-face interactions.
Communicating about the change has several bene�its. First,
communication can serve an educational function; it
helps employees learn about the performance gap and
understand how they can help reduce it. Employees also
need to learn about the change’s purpose and value to
understand how they can contribute to achieving it.
Communication also helps alleviate fears about how the change
might negatively impact the organization, certain
jobs, or individuals. Effective communication will bolster
employees’ con�idence that they can cope with the change
and the new demands it will bring (Mayer, Davis, & Schoorman,
1995; McKay et al., 2013; Walinga, 2008). More
broadly, a comprehensive communication plan gives employees
the opportunity to understand the scope and
strategy behind the change and to raise issues of concern
(McKay et al., 2013).

PromotingEmployeeParticipationintheChange
Participative management has been advocated as an effective
strategy throughout this book. Engaging employees in
planning and implementing change will likely result in higher
levels of acceptance and understanding (Holt et al.,
2007). Involving employees may also bene�it the change itself
since employees may have insight and information
that can inform change-related decision making and problem
solving (Courpasson, Dany, & Clegg, 2012).
Promoting active participation might involve educating
employees about the change and inviting their critical
analysis of its purposes and procedures. It is also wise to
engage employees in learning and development activities
that will build their competence and ability to cope with the
change and whatever new tasks and responsibilities it
requires. Engaged participation gives employees a sense of
ownership and responsibility toward the change. When
employees participate in the change process, they are less likely
to resist the change.
TakeAway5.1:ReadinessforChange

Propensity to accept change depends on the level of change
readiness for both individuals and the
organization. Change readiness signals that employees perceive
the change as necessary and
attainable and are willing to support its implementation.
Change readiness is in�luenced by clear management
communication and employee con�idence in
management’s knowledge, skills, and attitudes to effectively
implement the change.
Interventions are more likely to be accepted when the change
has been clearly communicated and
employees have an opportunity to participate in its planning and
implementation.
5.2WhatAreODInterventions?
During the planning or discovery phase of action research, the
OD consultant works with the client to collect,
analyze, review, and present data to help diagnose the problem.
Once those steps are completed, an informed action
to address the problem, also known as an intervention, can be
selected. “OD interventions are sets of structured

activities in which selected organizational units (target groups
or individuals) engage in a task or a sequence of tasks
with the goals of organizational improvement and individual
development” (French & Bell, 1999, p. 145).
De�ininganIntervention
Interventions signify the point at which action is taken on an
issue. They can happen throughout the action research
cycle. Schein (2013) explained, “Once we have made some kind
of judgment, we act” (p. 94). As noted in Chapter 3,
even the mere presence of a consultant is considered to be an
intervention. As emphasized by French and Bell
(1999):
The OD practitioner, a professional versed in the theory and
practice of OD, brings four sets of attributes to the
organizational setting: a set of values; a set of assumptions
about people, organizations, and interpersonal
relationships; a set of goals for the practitioner and the
organization and its members; and a set of structured
activities that are the means for achieving the values,
assumptions, and goals. These activities are what we mean
by the word interventions.(pp. 145–146)

InterventionsDisrupttheStatusQuo
Coghlan and Brannick (2010) viewed intervening as the point at
which the actual change process begins. This is
where the organization may be caught in transition from a
present defective state to a future desired state
(managing its performance gap). In a similar vein, French and
Bell (1999) suggested that interventions “purposely
disrupt the status quo” (p. 143) toward a more effective state of
affairs. This process is similar to identifying and
resolving a performance gap; that is, the current state is
incongruent with the desired state, and thus actions are
required to resolve the gap. Coghlan and Brannick recognized
two managerial marks of being in this disruptive
transition:
1. possessing a plan that describes the goals, activities, projects,
and experiments that will move the
organization to the desired state; and
2. a plan of commitment to the change by the organization.
In the case of the Leadership Academy vignette, Leah and
James de�ined a plan for the academy to develop leaders’
capacity on the individual, group, and organization levels. They

also secured the organization’s commitment to the
intervention.
InterventionsHappeninComplexSystems
Interventions do not happen in a vacuum. “To intervene is to
enter into an ongoing system of relationship, to come
between or among persons, groups or objects for the purpose of
helping them” (Argyris, 2000, p. 117). Anderson
(2012) deconstructed this de�inition to emphasize three points:
The �irst point, that “the system is ongoing,” suggests that any
intervention represents an interruption or
disruption to the �low of organization life. The intervention
happens in the midst of organization
complexities such as politics, priorities, interpersonal
relationships, constraints, history, and other factors.
The second point, that interventions “come between or among
persons, groups or objects,” alludes to how
they disrupt usual ways of doing business. As a result, members
may resist them.
The third point, “for the purpose of helping,” indicates that the

goal of intervening is to positively impact
organization functioning, effectiveness, and performance.
If we consider the Leadership Academy intervention in
Argyris’s (2000) terms, it disrupted the �low of organization
life by identifying people with leadership potential. James and
Leah also had to navigate politics that evolved within
the state public health agency related to the program and its
control in the initial planning stages. The academy also
came between and among persons, groups, or objects by
changing the way participants behaved, problem solved,
and coached their employees. In some cases participants
completely overhauled their leadership style and began
developing their own teams in new ways. Some participants
experienced receptivity to their new skills, whereas
others encountered resistance. On the third point, the
individuals, their teams, and the statewide public health
agency were positively affected due to the multiple changes that
occurred as a result of this program.
InterventionsRequireCarefulPlanningandSequencing
Interventions entail planning the action or intervention, as well
as executing these. An interventionstrategy 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 interventionactivity (Anderson, 2012) or task
(French and Bell, 1999). The Leadership Academy
vignette was an example of an intervention strategy, given its
yearlong implementation and multiple associated
activities.
Interventions share common attributes in that they
signify a shift away from the status quo toward a new future,
initiate action on the problem,
rely on evidence,
are grounded in relationship,
occur in complex social systems, and
require planning and sequencing.
The Leadership Academy vignette met these attributes. It
shifted the culture toward leadership and gave
participants the tools and support to try their new knowledge
within their work environments. The program was
based on data collected from participants and the organization,
as well as the best evidence available on effective
leadership. Each participant’s organization had to provide a

letter of support to show commitment to the academy
participant, and there were multiple relationships developed
during the program that were critical to its success.
ClassifyingInterventions
Interventions are generally decided during the discovery or
planning that occurs in the �irst phase of the action
research model. They are implemented in phase two, doing or
action, and assessed in phase three, checking or
evaluating. OD interventions are the point of OD. They
represent the actions taken on the problem or issue.
Intervention is the peak of the OD process—it is what OD
intends to do from the start.
That said, interventions may occur at any point in the action
research cycle. For example, a consultant’s presence
represents several opportunities to acknowledge a problem,
make an impending change, or change conditions. A
consultant might make an intervention during initial or feedback
meetings by offering an observation, such as
“Everyone here is talking over one another,” or asking, “What
is preventing you from dealing with this problem?” or
stating, “You are talking over everyone during meetings and not
listening to what people are trying to tell you. Are

you aware of that?” Of course, in addition to making what might
be considered microinterventions, the consultant’s
job throughout the process is to guide the client toward making
a macrointervention that addresses the root cause
of the problem.
Classi�icationasDiagnosticorConfrontive
Interventions vary in terms of their level, scope, duration, and
strategy. The Leadership Academy vignette focused
on individual leaders, but it affected the leaders’ direct reports,
groups, organizations, and the wider state public
health agency. Schein (1988) classi�ied interventions as either
diagnostic or confrontive in terms of their timing and
level of dif�iculty. Interventions that occur at any time during
the contracting process, initial meetings, and data
collection are diagnosticinterventions 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
confrontiveinterventions (Schein, 1988). There are
four types of confrontive interventions that range in their level
of dif�iculty:
1. Agenda-managedinterventions. As the name indicates,
agenda-managed interventions are concerned with
helping the group or organization prioritize what to focus on;
these interventions also examine its internal
processes. Groups or organizations may get stuck determining
what is important; they may do nothing or
vacillate instead of making a decision. Working with a stalled
group or organization can be quite frustrating.
Helping a group focus on how it functions can be pivotal in
improving actions and outcomes. Schein (1988)
argued that something as simple as evaluating meetings
signi�icantly impacts group members’ awareness of
interpersonal dynamics, emotional reactions, communications,
and decision-making processes. Schein
recommended starting with low-risk issues like the agenda.
Higher risk issues regarding the group’s
relational and interpersonal patterns should be tackled once
people are emotionally prepared to deal with
the vulnerability and feelings that will surface when the group

begins to critique how it functions.
2. Confrontingthroughfeedbackofobservationsorotherdata.
Chapter 4 discussed the process of sharing
feedback with the client during the discovery phase of the
action research model. Schein (1988)
recommended sharing feedback when the group or organization
commits to examining interpersonal
workings. Confronting through feedback requires that the client
be ready to hear and act on it. Consultants
play a key role in helping the client absorb and act on feedback.
The ability to observe reactions, listen, ask
great questions, facilitate learning, defuse defensiveness, and
deliver dif�icult messages with tact and
diplomacy are key to these types of interventions. Consultants
should also model how to hear and accept
feedback for the client. This involves asking for feedback on
one’s own performance and graciously
accepting and acting on it as appropriate.
3. Coaching. When individuals and groups receive feedback,
there is a natural inclination to seek help in
modifying behavior to facilitate the change process. Coaching
has become a signi�icant management trend in
recent years (Feldman & Lankau, 2005). It involves helping

people overcome behaviors that limit their
ability to work effectively with others (Corbett, Ho, &
Colemon, 2009). Coaching is a higher risk confrontive
intervention than agenda-managed interventions or confronting
through feedback of observations or other
data, making it one that Schein (1988) recommended using with
caution. Coaching interventions can have
life-altering effects and should therefore be used with care and
sensitivity.
4. Structuralinterventions. The confrontive interventions in this
section are arranged in a descending
hierarchy. That is, they are presented from ease of
implementation (1) to dif�iculty of execution (4).
Structural interventions pertain to allocation of work,
modi�ication of communications, group membership,
assignment of responsibility, and lines of authority. These types
of changes, which are often called
“reorganization,” are greeted with trepidation by most
organization members. They are also the most
dif�icult to implement and sustain and must be undertaken for
the right reasons. Before resorting to
restructuring, consultants should consider interventions 1
through 3 to see if they suf�iciently solve the
problem.

Interventions are diverse and can address multiple levels of the
organization. Selecting the best possible
intervention based on your time frame, budget, culture, and
goals is a key task of the action research process.
Classi�icationbyLevelandProcess
Other theorists use other schemes for classifying OD
interventions. McLean (2006), for example, classi�ied by levels
of analysis (individual, group, team, organization, etc.)
Cummings and Worley (2009) organized interventions
according to the underlying process (human process
interventions, technostructural interventions, human resource
management interventions, and strategic change interventions).
Table 5.3 goes into more detail on different ways to
classify OD interventions.
Table5.3:ODinterventionclassi�ications
McLean(2006) CummingsandWorley
(2009)

FrenchandBell(1999)
1. Individual
2. Team and
interteam
3. Process
4. Global
5. Organizational
6. Community and
national
1. Human process
2. Technostructural
3. Human resource
management
4. Strategic
1. Team interventions
2. Intergroup and third-party peacemaking
interventions
3. Comprehensive interventions (e.g., large

scale or strategic)
4. Structural interventions
Although classi�ication helps the OD consultant and client
understand an intervention’s scope and focus, no one
classi�ication is necessarily “right,” because both levels and
processes are �luid. Leadership interventions, for
example, commonly fall under more than one classi�ication. A
leadership development program like the one
described in the Leadership Academy vignette crosses the
classi�ications of individual, team, organization, human
process, human resource, and strategic, since potential leaders
receive individual development that impacts their
interactions with groups and in�luences the overall
organization and future strategies. Another example of an
intervention that crosses all levels would be the implementation
of a performance management system. Individual
behavior is usually affected when performance is appraised, and
this in turn in�luences groups and the organization
itself.
TipsandWisdom
As Table 5.3 showed, there are many types of interventions to

choose from, particularly based on level.
French and Bell (1999) classi�ied OD interventions into 14
types that center more on the activities; these
are listed and augmented with examples:
1. diagnostic activities, such as data collection and feedback to
determine causes of problems
2. team-building activities, such as determining ground rules or
assessing individual interaction
styles
3. intergroup activities, such as interof�ice collaboration or
con�lict resolution
4. survey feedback, such as climate assessment
5. education and training, such as a leadership workshop
6. technostructural or structural activities, such as technology
implementation or reorganization
7. process consultation, such as group dynamics analysis
8. grid-organization development, such as determining
management style based on levels of concern
for people and concern for production (based on Blake &
Mouton, 1964)
9. third-party peacemaking activities, such as mediation

10. coaching and counseling activities, such as executive
coaching
11. life- and career-planning activities, such as career
development or life coaching
12. planning and goal-setting activities, such as departmental
goal setting
13. strategic management activities, such as strategic planning
14. organizational transformation activities, such as
restructuring and new leadership
The Leadership Academy vignette interventions could be
classi�ied according to French and Bell’s (1999)
list as 1, 2, 5, 10, 11, 12, and likely others.
ThisBook’sODInterventionClassi�ication
Regardless of how they are classi�ied, each phase of action
research builds toward making one or more intervention.
This book uses three levels of intervention classi�ication:
individual, group or team, and organization. Each of the
categories listed previously can be accounted for under one or
more of these three categories. Table 5.4 lists typical

interventions at these levels. We will further describe these
interventions in Chapters 7 and 8.
Table5.4:LevelsofODinterventions
Individual-levelinterventions Group-levelinterventions
Organization-level
interventions
Learning and development
Leadership and management
development
Career development
Assessment
Job development
Group or team process and
development
Diversity and inclusion
Con�lict management
Problem solving and decision
making
Vision and mission
development

Strategic planning
Organization design
Culture
Talent management
Large-scale interactive
events
CriteriaforChoosinganIntervention
Argyris (1970, 2000) recommends that three primary
intervention tasks occur before making any type of
intervention:
First, recommended interventions must be based on
validinformation. 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’sfree,informedchoice.
Third, the client must becommittedtolearningandchange.
All three of these prerequisites had been met in the QuickCo
vignette featured in Chapters 3 and 4 and were in place
in the case of the Leadership Academy vignette, to set which

positioned the organizations up for intervention
success.
There is usually more than one appropriate intervention for
every problem. Interventions vary in terms of their
implementation time frame, cost, scale, level, and complexity.
For example, in the QuickCo vignette, the intervention
involved a relatively short time frame in which a facilitated
intervention was made with the shipping department
and some coaching was provided to the supervisor. The
Leadership Academy vignette presents a much more costly,
long-term, complex implementation that will last for a year and
continue into the future.
TipsandWisdom
Cummings and Worley (2009) de�ined an effective intervention
as one that �its an organization’s needs,
targets outcomes that will address the problem’s root cause, and
transfers competence to the organization
to manage future changes. A key feature of the Leadership
Academy was to build internal capacity for the
state public health agency to run future programs. French and

Bell (1999) advocated a strategic approach
to interventions that incorporates goals, activities, and timing.
The strategy also needs to anticipate the
organization’s readiness to change, potential barriers, and
sources of support and leadership. French and
Bell’s tips for making effective interventions follow:
1. Include the relevant stakeholders.
2. Base the intervention on the data generated.
3. Involve the stakeholders in the action research process.
4. Keep the intervention focus on the key goal.
5. Set manageable, attainable goals.
6. Design the intervention so that key learning can be attained
and shared.
7. Emphasize collaborative learning throughout the process.
8. Use the opportunity for the client group to enhance learning
about the interpersonal workings of
the group.
Use French and Bell’s list to evaluate an intervention in which
you participated. How did the intervention
stack up against this list?
Anderson (2012) outlined useful considerations for making

good intervention choices. First, the intervention should
be congruent with the data and diagnosis from the discovery
phase of the action research model. Incongruence will
result in solving the wrong problem.
Second, the client readiness for change should be assessed.
Without a client that is willing and able to change, the
intervention will fail. Striking a collaborative consulting
relationship is foundational to promoting readiness
throughout the process.
Anderson’s (2012) third consideration is determining where to
intervene. Do you start with top management or line
management? Do you work on relationships before issues or
vice versa? Would it be wise to pilot the intervention
on a small scale before rolling it out to the whole organization?
Do you start with the easiest or most dif�icult aspect
of the implementation?
Anderson’s (2012) fourth consideration is the depth of the
intervention. Less deep interventions are observable,
whereas very deep interventions are more abstract. The
following are Anderson’s depths, listed in order with some
potential examples:

work content (tasks, skills, knowledge);
overt group issues (communication, decision making, or
con�lict);
hidden group issues (coalitions and power);
values and beliefs (quality, cooperation, stability); and
unconscious issues (assumptions about how we do business,
culture).
Finally, Anderson’s (2012) �ifth consideration is to sequence
activities to ensure optimal outcomes. Consultants need
to make the best use of data; be highly effective, ef�icient, and
quick; and use relevant activities that minimize stress
on individuals and the organization.
TakeAway5.2:WhatAreODInterventions?
OD interventions are change activities or sets of change
activities that are applied to resolve the
presenting problem.
Interventions can be classi�ied in multiple ways, such as
diagnostic, confrontive, or by level or
process. This book classi�ies them according to the level at
which they are implemented: individual,

group or team, or organization.
The criteria for making an effective intervention include basing
the intervention on valid data,
verifying the client’s free and informed choice to proceed, and
establishing the client’s
commitment to learning and change.
5.3ImplementingODInterventions
Now that data have been analyzed and shared with the client
and an intervention has been agreed upon, it is time to
implement a solution. This is the action phase of OD.
“Implementation is . . . the point of the consultation” (Block,
1999, p. 247).
The moment of implementation or action is also the moment for
the client to visibly take ownership of and lead the
process. That is, the client will be accountable for maintaining
the intervention in the future. If the client is not
hands-on with implementation, the entire project will be at risk.
If the consultant has managed the client
relationship well and insisted on a joint process, the client
should have little issue with taking charge of the

intervention. The client will likely need ongoing coaching and
support to help see the implementation through and
build con�idence in the process.
DeterminingtheConsultingRole
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.
Table5.5:Consultingrolesandstrategiesduringimplementation
Role Strategies
Provide support and encouragement. Acknowledge the
implementation effort in ways that
give the client and employees recognition and
appreciation.
Offer praise and words of encouragement to those

engaged in the implementation.
Observe and share feedback. Prepare clear and direct feedback
and share it with
the client.
Develop observation checklists so the client can also
participate in making observations and checking on
progress.
Listen and offer counsel when things go wrong. Serve as a
sounding board.
Ask good questions to help the client �ind the answer
instead of giving the answer.
Mediate con�lict as necessary.
Help the client modify and �ine-tune the plan. Engage in
ongoing evaluation of the implementation.
Devise adjustments to the change as needed.
Identify process problems that impede
implementation.
Conduct ongoing evaluation and take quick action to
make needed corrections.
Create a process for identifying and resolving

problems.
JGI/JamieGrill/BlendImages/Corbis
Learningisoftenstimulatedbycrisisorby
re�lectingoneventsandideas.
Role Strategies
Bring together parts of the client system to
address process issues (e.g., con�lict,
communication).
Create an implementation task force that conducts
regular audits of the implementation and has the
authority to intervene as needed.
Ensure that communication is ongoing with everyone
involved in the implementation.
Bring people together from different disciplines
or different parts of the organization to work on
implementation.
Create an implementation task force.

Employ task force members to conduct
communication, training, and evaluation related to
the intervention.
Organize necessary training and education. Create ongoing
training sessions that will help
prepare the employees for the change.
Develop in-house trainers to help with the training
effort.
Work with managers to help them support the
change process.
Develop a means of communicating with managers so
information can be shared and problems solved
easily.
Consider regular meetings, technology, or a mix.
Confront inconsistencies between the plan and
how it transpires.
Check the implementation progress to plan regularly
and make adjustments.
Decide on a protocol for making changes and stick to
it.

Refer to Chapter 3 for more information about the consulting
relationship and how to interact with clients
throughout the action research process.
PromotingLearningRelatedtotheIntervention
The intervention process moves the client from the current state
through a transitional phase and into the new,
desired state. Another way to think of it is in terms of Lewin’s
(1946/1997) unfreezing, moving, refreezing change
model introduced in Chapter 2. People are engaged in the
unfreezing stage when they become aware of the need to
change, build the desire to create change, and undergo a process
of unlearning.
Imagine you decide to go on a diet. The unlearning is the
process of
recognizing that your current eating habits are unhealthy and
searching for an alternative. Moving is making the changes, and
this
requires new learning. For example, you might review several
diet
plans or review the basics of nutrition. Refreezing occurs when
the

new behavior becomes part of your lifestyle.
“Human beings have always engaged in learning—learning to
survive, learning to live in a social group, learning to
understand
the meaning of our experiences” (Merriam & Bierema, 2014, p.
44).
Learning in the workplace is no exception and is a common
focus of
OD. Most change requires learning. People often are not aware
of a
problem until there is a crisis or they re�lect on the results they
are
achieving. At that point people begin to ask questions such as:
“Why are we doing it this way?” “Is there another way to think
about this?” “What mistakes have we made and what have we
learned from them?” or “What could be improved?” Asking such
questions is what is known as re�lectivepractice.
Crises or re�lection can jolt people into a learning mode as
they build knowledge and understanding. This learning is
often the catalyst for change. People may learn the competition
is gaining an edge, their quality is declining, their

relationships are dysfunctional, or their management is lacking
vision. These insights make them want to act, and
OD provides a process for addressing these challenges through
action research. Learning happens at every phase of
the process, from discovery of the problem to planning an
intervention, to maintaining the change, to evaluating its
effectiveness. This section considers the role of learning in the
action research process by appreciating the
relationship between learning and change and exploring ways of
facilitating client learning.
TheRelationshipBetweenLearningandChange
Most OD involves change, and most change involves learning.
Think about a change you made in your life, such as
switching jobs, starting a relationship, moving to a new city, or
pursuing a goal. Chances are these shifts created new
learning. What was it? Can you think of a life change you made
that did not require learning? Chances are you
cannot, if you identi�ied a substantive change. Changes often
require new action or new thinking that depend on
new learning.
Similarly, changes made in OD—such as heightened awareness
of interpersonal relations, understanding through

feedback, or attempting to change your leadership style—also
involve learning. Certain conditions promote
learning. For example, adults are motivated to learn when
education is relevant to their current situation, work
challenges, or life needs.
FacilitatingClientLearning
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. Aspeoplemature,theirself-
conceptmovesfromthatofadependentpersonalitytowardoneofaself
-directed
humanbeing. 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.
Peopleaccumulateagrowingreservoirofexperience,whichisaresour
ceforlearning. The people affected by a
change have spent a great deal of time in the organization and
have a repertoire of know-how related to the
problem or issue being addressed by OD. Failure to tap their
experience and knowledge will breed
resentment and resistance. Find ways for the involved parties to
contribute their insights to the process to
enhance buy-in and minimize resistance.
3.
Peoplebecomereadytolearnwhenthetasksandchallengesoflifedem
andnewknowledge. My organization,
for example, is converting to a much-needed data management
system. Although it is a major change, the
employees who have been wrestling with outdated,
unresponsive, clunky databases have eagerly attended
training and are excited about the implementation of the new
technology. When change is communicated
well and addresses a true need in the organization, there is a
better chance that employees will be
enthusiastic about learning to adopt it.

4. Peopletendtobelife-orproblem-
centeredintheirlearning,ratherthansubject-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. Peoplearedrivenbyintrinsicmotivation.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. Peopleneedtoknowthereasontolearnsomething. People will be
resistant to learning new software or
changing their behavior if they are not provided with a
rationale. A consultant’s job may well be to sell the

OD effort and connect it with the necessary learning. When my
organization announced the shift to a new
database, the rationale was for ease of generating reports,
combination of databases, and a user-friendly
format. These were reasons that made sense to the users and
motivated their acceptance of and learning
related to the change.
Think of the times you have been motivated to learn. How do
the principles of learning relate to your own life? What
about to changes you have experienced at work? How can you
craft the change in a way that gives affected
employees an opportunity for input and control over the
learning? You might offer multiple information sessions
employees can attend at their convenience or survey them to
�ind out what they want to learn and provide it.
Today’s e-learning programs allow students to customize
learning like never before.
FacilitatingTransformationThroughLearning
Scharmer and Kaufer (2013) distinguish two types of learning:
learning from the past and learning from the
emerging future. They describe this new model of learning and
leadership extensively in their model of TheoryU, “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).
Figure5.1:TheTheoryUmodel
TheTheoryUmodelmovestheclientthroughtheprocessoflettinggoo
ftheold(leftsideof
theU)andembracingthenew(rightsideoftheU).
Source:FromC.OttoScharmer,Theory U: Learning from the
Future as It Emerges(Berrett-Koehler,SanFrancisco).Copyright
©2009.ReprintedbypermissionofThePresencingInstitute/C.OttoS
charmer
Scharmer and Kaufer (2013) propose that “energy follows
attention” (p. 21) and that we should therefore focus on
what we want to create versus what we want to avoid. That
means consultants need to keep clients focused on the
outcomes they seek, rather than the problems they want to
avoid. To understand this model of learning and change,
start at the top left of the U. Moving down the left side of the U
involves opening minds, hearts, and wills. You can

help clients do this by observing them closely for ideas or
practices that are holding them back, then feeding this
information back to them. The bottom of the U is a place of
deep re�lection and shifting away from the problem
toward the desired future. Your role is to create activities that
help clients re�lect on their problem. This might
include key assumptions of individuals and the organization, or
raise new questions that have not yet been asked.
Going up the right side of the U involves acting—much like the
doing phase of action research. In these steps, you
develop a vision of the intended future and devise and
implement appropriate interventions.
Navigating change in the Theory U model requires what
Scharmer and Kaufer (2013) refer to as “Transform[ing] the
three enemies” (p. 23). These are
the voice of doubt and judgment (shutting down the open mind);
the voice of cynicism(shutting down the open heart), and
the voice of fear(shutting down the open will).
Scharmer and Kaufer (2013) suggest beginning by focusing on
the future and paying particular attention to where
the past seems to end. This “place” is similar to what Bridges
(1980) called the neutral zone (see Chapter 2).

Theory U is an innovative, future-oriented change model worth
knowing. Resources for further study of this model
are listed at the end of the chapter.
TakeAway5.3:ImplementingODInterventions
During implementation, consultants should be clear about the
type of consulting role they want to
play. The roles vary from less involved observation of the
implementation to active engagement in
providing feedback, modifying the plan, and providing needed
training and support. The role you
play will depend on the client’s skill level at leading and
facilitating change.
It is important to promote learning related to the intervention by
encouraging re�lective practice,
helping employees see the connection between learning and
change, and facilitating client learning
by building principles of andragogy (effective adult learning)
into the intervention.
Theory U embraces the idea that energy follows attention. In
consulting, this means consultants
need to keep clients focused on the outcomes they seek, rather
than the problems they want to

avoid.
5.4MonitoringandSustainingChange
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.
CaseStudy:ReorganizationResistance
The CEO of a publishing company instructs Brenda Frank, the
president of one of its divisions, to
reorganize its management structure. The division was recently
purchased and is not aligned with the
other divisions. The CEO thinks that the division has too many
vice presidents and management layers and
that its administrative structure is too expensive. Brenda is
unconvinced that restructuring is the best
answer, due to the niche of the publishing division, but she also

understands her marching orders. She
contacts a consultant, George Reed, with whom she has worked
before on leadership development issues.
“George,” she says, “I’ve got to �ind a way to reorganize that
makes my CEO happy. According to corporate,
we have too many layers and too many VPs. I’m going to need
your help to �igure this out. Can you help?”
George pauses for a moment before answering. He is an expert
at leadership but has limited experience
with the kind of restructuring Brenda is asking for. “I’m not
sure that falls within my expertise, Brenda, but
I am willing to hear more about the matter. Let’s meet.”
A meeting is set, and George and Brenda discuss the change.
George is hesitant and tells Brenda she might
be better off with someone else. “Nonsense!” she exclaims.
“You are an expert at leadership, how hard can
this be? Let’s get to task.”
Brenda and George set about planning the change. The next
thing Brenda and George do is call a meeting of
the vice presidents to notify them of the change. Brenda opens
the meeting. “We are going to have to

reorganize,” she says. “According to corporate, we have too
many layers and too many VPs. I’m asking for
your help in this process.” Brenda explains that over the coming
weeks, George will be meeting with them
to discuss their functional areas and collect data to help inform
the change.
After the meeting, the groans and complaints from the VPs are
largely uniform. The comments in the
hallway range from anger to disbelief to denial, including:
“I’ll tell you what, we are not at all valued. This is a signal
we’d better all be dusting off our resumes.”
“Well, that’s the dumbest idea I’ve heard out of corporate since
we were acquired. They have no idea
what it takes to run our business and have given no rationale for
the change other than they think it
will save money. What about the money it could lose?”
“This plan will never work. Let’s just keep our noses to the
grindstone and ride it out.”
George and Brenda have a good working relationship, so they
forge ahead and try to make the best of a

dif�icult situation. George begins studying the organization
chart and interviewing the VPs. Together, they
come up with a new structure that merges ten departments into
six, displacing four VPs. The rollout of the
change involves holding individual meetings with the VPs to
unveil the new structure. Brenda works hard
to �ind new roles within the company for the displaced VPs,
but she is not entirely successful and winds up
laying off two of them. Once the personnel changes have been
made at the individual VP level, Brenda
WhenInterventionsFail
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.
ReasonsInterventionsFail
Interventions fail for several reasons. First, organizations must
be ready for change. In addition, certain �laws

inherent in the intervention design itself can contribute to
failure. Table 5.6 identi�ies some of the reasons
interventions fail, with tips for �ixing them.
Table5.6:Interventionfailuresand�ixes
Failure Fix
1. The intervention attempted to solve the
wrong problem.
Ensure that phase 1 of the action research process
arrives at the correct diagnosis.
Involve multiple stakeholders to analyze the
problem and provide inputs.
2. The wrong intervention was selected. Ensure that phase 1 of
the action research process
plans an appropriate intervention.
Identify a backup intervention if it becomes clear
that the selected one fails to meet the need.
3. Goals were ambiguous, unclear, or too lofty. Work with the
client to establish a clear purpose
and goals for the intervention.

If there is no clarity of purpose, intended
outcomes, and process to achieve them, an
intervention is not ready to be implemented.
crafts an e-mail to all employees with a new organization chart
and informs them that the changes are
effective immediately.
The reorganization announcement throws the organization into a
frenzy. It catches the employees by
surprise; they see no reason for the changes. Immediate
reactions are anger, fear, and suspicion. Employees
are nervous about their job security and the integrity of their
work units. The remaining VPs are unclear
about how to implement the changes or how to manage the new
staff units of the merged departments.
Productivity and morale plummet. Several employees at
multiple levels begin to look for other jobs.
Customers begin to complain about a lack of support or clarity
about whom to contact to meet their needs.
Clearly, Brenda and George have a disaster on their hands. They
thought they were doing things right, but
obviously they were not.

1. What did they do wrong?
2. What would you do differently?
Failure Fix
4. The intervention was undertaken as an
event rather than as a program of activities
with multiple targets for change (strategy
missing).
Develop a long-term implementation strategy
using a Gantt chart (see Chapter 3).
Distinguish interventions from intervention
strategy.
5. Not enough time was devoted to change. Estimate how long it
will take to make the
intervention and then add at least 10% more time.
Build time into the workday to implement the
change. This is part of the resource allocation the
organization has to make if it is committed to

change.
6. The intervention was poorly designed to
reach the speci�ied goals.
Ensure that phase 1 of the action research process
arrives at the correct diagnosis and appropriate
intervention.
Engage employees in intervention design—they
will be the best debuggers and critics and help get
it right the �irst time.
7. The consultant was not skilled at
implementing the intervention.
Hire the right consultant.
Part ways with the consultant if you are not
getting what you need.
8. Responsibility for change was not
transferred to the client.
Establish client accountability for monitoring and
sustaining change during the contracting phase
(see Chapter 3).

Provide the necessary learning and development
to managers and leaders to assume accountability
for the change.
9. Organizational members resisted or were
not committed to the intervention.
Follow the recommendations for promoting
change readiness.
Watch for evidence of resistance and follow the
strategies in this chapter to respond to it.
10. The organization was not ready for change. Prepare
management for the change �irst so it can
provide support to employees.
Prepare employees for the change prior to
implementation.
Source:Anderson,2012,pp.177–179.
ImplicationsofFailedInterventions
Failed interventions have serious implications for the consultant
and the organization (Anderson, 2012). They can damage a
consultant’s reputation, causing the consultant to lose clients

and
future referrals. Failed interventions can also be detrimental to
a
consultant’s sense of self-ef�icacy and trust in his or her
intuition.
This same level of self-doubt can plague organizations with
failed
OD efforts and may cause organization members to distrust
their
own intuition about organization problems or ability to
implement
lasting change. In fact, failure can become a repetitive cycle for
DigitalVision/Photodisc/Thinkstock
Wheninterventionsfail,theteammust
decidewhichstepstotakenext.
consultants and organizations if con�idence in the process is
not
quickly restored.
Argyris (1970) notes that other implications for failed
interventions on the organization level include increased

defensiveness against any change; dim-inished ability to cope
through con�lict resolution and productive communications;
waning energy to work on solving the problem; increased
frustration, stress, cynicism, and controlling behaviors; and
unrealistic goals (aiming too high or too low to avoid future
risk or
failure).
EthicalIssuesPertainingtoInterventions
Integrity and authenticity help the OD process run smoothly and
avoid failed interventions. OD ethics have also been discussed
in
Chapters 1 and 3. There are some important principles to keep
in mind to ensure that the intervention process is
ethical.
AvoidMisrepresentation
Although it is tempting to avoid telling clients what they do not
want to hear, it is a mistake to misrepresent the
intervention’s time line, cost, or dif�iculty. This mistake can
occur due to inexperience, overpromising, or trying to
please a client. A better strategy is to underpromise and
overdeliver. That way there are no surprises in the long run.

It is also important that you know the limits of your skill set as
a consultant. If you promise to deliver a skill or
knowledge you do not have, it can create distrust and anger with
the client, as well as put the intervention in danger
of failure—along with your reputation as a consultant.
AvoidCollusion
Colluding with the client is another ethical challenge. For
example, you might scheme to adopt an intervention
because it is appealing or interesting or because it will bring
you more business as a consultant. If you lack evidence
to support the need and appropriateness of an intervention, it is
unethical to recommend it. It is also bad ethics to
conspire with the client in ways that result in distortion of the
process and exclusion of others. For example, if you
know that a certain manager is going to disagree with your
desired course of action and you exclude him or her from
a meeting where it is discussed, this is considered colluding to
exclude.
AvoidCoercionorManipulation
Finally, it is unethical to coerce or manipulate the client or
members of the organization. This might involve blocking

opportunities for organization members to participate in the
decisions about the process, which in effect foists the
intervention on them. This and other ethical challenges noted
can be avoided by following a good action research
process that generates data on which to base decisions while
actively involving organization stakeholders in the
process.
OvercomingResistance
A lesser known de�inition of change readiness is “the cognitive
precursor to the behaviours of either resistance to, or
support for a change effort” (Armenakis, Harris, & Mossholder,
1993, pp. 681–682). When employees express stress,
negativity, or cynicism toward the change, they are showing
resistance. Resistance has also been de�ined as “an
adherence to any attitudes or behaviours that thwart
organizational change goals” (Chawla & Kelloway, 2004, p.
485). Resistance behaviors might be readily visible, such as
sabotage or vocal opposition. Or they may be more
subtle, such as reducing output or withholding information
(Giangreco & Peccei, 2005). Resistance may also take the

form of ridiculing the change, boycotting change conversations,
or sabotage (Lines, 2005). The beginning of this
chapter discussed readiness to change. Readiness is related to
resistance because, when people or organizations are
not prepared to change, they will likely �ind ways to stall or
distract the change effort.
Assessment:TestYourChangeResistance
Take this survey to see how much (or little) you embrace
change:
http://pluto.huji.ac.il/~oreg/questionnaire.php.(http://pluto.huji.
ac.il/~oreg/questionnaire.php)
CausesofResistance
Resistance to change might be caused by management’s
dismissal of employee input or failure to handle negative
attitudes toward the change, or it might arise because the level
of employee input in planning, implementation, and
change maintenance is too low (McKay et al., 2013). Most
people do not like change, so resistance is the general
disposition most will initially experience. Resistance can also
be on ethical and strategic grounds if employees do

not regard the change as favorable to the organization and its
stakeholders (Oreg, 2006; Piderit, 2000).
AcknowledgingResistance
Management may be tempted to disregard resistance; however,
it is a mistake to ignore it. When employees resist
change and relay concerns about it, they are behaving normally.
Impending change causes fear and a sense of
personal loss and grief among employees who �ind value and a
sense of security in their daily routine and work
group (Burke, Lake, & Paine, 2008). Sometimes, employees just
need an opportunity to raise issues and have
management hear their fears. Dismissing employees’ concerns
or disregarding how the change will impact
employees’ sense of security and trust in the organization risks
intensifying negative attitudes, increasing resistance
behaviors, and compromising effective change implementation.
Instead, it is to the organization’s advantage to
create opportunities for dialogue about the change and to seek
solutions that resolve the concerns.
TipsandWisdom
A simple exercise to help employees discuss change is to give

them an opportunity to talk about their
hopes for the change as well as their fears about the change. It
is useful to record these (often on a �lip
chart or whiteboard) and for management to respond to the
fears, which helps defuse them. This activity
can be done in a meeting format or via an electronic forum or
survey.
SustainingChange
http://pluto.huji.ac.il/~oreg/questionnaire.php
Whether the change has been on an individual, group, or
organization level, implementing it is the easy part.
Sustaining it is where trouble occurs. Successful change
implementation may cause overcon�idence, which fosters an
unpreparedness for the dif�icult work of maintaining it
(Anderson, 2012; Senge et al., 1999). Anderson cautioned
that relapsing to old ways of being is an implementation hazard,
especially when an external consultant exits the
picture. Change also requires energy that organization members
may lack, since other distractions may pull them
away from consciously maintaining the change. The education
necessary for full change adoption may not keep pace

with the change implementation, making it dif�icult to sustain.
Sometimes the old organization culture and practices
are just too powerful for the change to sway, leaving the
organization vulnerable to reverting to old ways of doing
business.
ActionstoSustainChange
How can organizations avoid these pitfalls to lasting change?
Change should be translated into the organization’s
daily operations so it simply becomes the way business is done.
Strategies that help sustain change include:
1. Communicate regularly about the change implementation.
This could be via regular meetings, written or
electronic communication, social media, and informal
conversations.
2. Formulate an implementation task force that includes top
leaders and affected employees. This group can
hold regular meetings and help communicate the change.
3. Hold meetings that include a cross-functional, intragroup
mixture of people involved with the change to
monitor progress, troubleshoot, and evaluate the process.

4. Find ways to reward and recognize employees involved in the
implementation. This might include visible
items such as T-shirts or trinkets, awards, monetary rewards, or
time off.
5. Build change implementation into the performance review
criteria of those employees accountable for
supporting and sustaining change.
6. Invite external stakeholders and consultants to evaluate the
change progress.
7. Ensure that the reward system is aligned with the desired
changes.
8. Provide the necessary learning and development needed to
sustain the change.
9. Ensure that needed resources are available to sustain the
change.
TipsandWisdom
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.
StrategiestoDefuseChallengestoChange
During implementation a consultant will monitor the client for
signs of low commitment, such as anger, hostility, objections,
in�lexibility with implementation options, unwillingness to
look at
process issues, hidden agendas, delaying tactics, or failure to
implement. To successfully make an intervention, there must be
sunstock/iStock/Thinkstock
Timemustbemadeforchange,and
sustainingittakesadditionaltime.
commitment and leadership from the top, individual
competence,
and adequate organization. When consultants observe signs of
waning commitment, they will want to take action quickly.

Faltering commitment will negatively affect learning and lasting
change.
Senge and colleagues (1999) identi�ied 10 challenges created
by
resistance to change that relate to initiating change, sustaining
change momentum, and meeting the challenges of redesigning
and
rethinking processes and procedures during and after the
change.
These are:
Timechallenges. Employees can feel frustration or worry that
they
do not have enough time to learn or implement changes. To
counter
this challenge requires giving employees �lexibility and time to
process and implement the change.
Support and help with change implementation. Employees will
become quickly frustrated and disenchanted if
coaching, guidance, and support are absent during the change. It
is important to provide both the resources for
supporting the change and for management to be skilled in this
area.

Perceptionsthatthechangeisnotrelevant. 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.
Managementfailstosetanexample. When management fails to
“walk the talk,” people notice. Management must be
held accountable for visibly and personally supporting and
implementing the change.
Mountingfearandanxiety. When changes are implemented,
employees can get nervous. They may feel vulnerable,
unable to adopt the change, and distrustful of the change and
management. Open and candid communication from
the beginning is a must, along with management setting a good
example.
Perceptionsthatthechangeisnotworkingasintended. 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.
Perceptionsthattheoldwayofdoingthingswasbetter. These
perceptions can allow employee groups to feel like
victims who are disrespected or misunderstood by management.
These perceptions are countered by ongoing,
effective communication about the change and its need.
Confusionaboutwhoisresponsibleforthechangeandnewprocedures
. Change can naturally breed confusion over
new procedures and policies. Management can help by modeling
patience, �lexibility, and problem solving to create
new infrastructure when making change.
Frustrationthattheorganizationisdoingnothingbut“reinventingthe
wheel.” Employees can get frustrated when
they feel like no real change is occurring or that the change has
not improved the problem. Making the case for
change early in the process can help minimize frustration and
help people focus on the change’s future bene�its.

Confusion about the purpose and bene�it of the change in the
bigger organization picture. Employees may not
immediately link the change to organization strategy and
purpose. Management can help by showing how the
change will bene�it the business and its stakeholders.
Psychologist Eve Ash discusses common reactions to
organizational change.
As has been stressed throughout this chapter, key themes in
avoiding resistance include timely and ample
communication about the change, providing a clear rationale for
why the change is needed, and management
support and role modeling throughout the change process.
GainCommitmentforChange
CriticalThinkingQuestion
What techniques does Eve suggest to assist change managers
in gaining commitment to change efforts?

Gain Commitment for Change
From Title: Managing Change Successfully
(https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xti
d=49936)
TakeAway5.4:MonitoringandSustainingChange
Interventions fail for multiple reasons, including a lack of
change readiness, resistance, poor levels
of management communication and support, and a �lawed OD
process that results in the wrong
problem being solved, ambiguous goals, inadequate time being
allotted, poor design, ineffective
consulting, failure to ensure client accountability, and lack of
organization commitment.
Ethical issues abound in OD. During the intervention phase,
issues include misrepresentation,
collusion, and coercion.
Resistance to change can be overcome by open and regular
communication from management,
engaging employees in the planning and implementation of the

change, and acknowledging the
fears and concerns that underlie resistance.
Change can be sustained by regular communication, broad
engagement of employees in
monitoring the change, rewarding and recognizing employees
committed to the change effort, and
providing the necessary learning and support.
https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid
=49936
SummaryandResources
ChapterSummary
Propensity to accept change depends on the level of change
readiness for both individuals and the
organization. Change readiness signals that employees perceive
the change as necessary and attainable and
are willing to support its implementation.
Change readiness is in�luenced by clear management
communication and employees’ con�idence in
management’s attitudes, knowledge, and skills to effectively

implement the change.
Interventions are more likely to be accepted when the change
has been clearly communicated and
employees have an opportunity to participate in its planning and
implementation.
OD interventions are change activities that help resolve the
presenting problem.
Interventions can be classi�ied in multiple ways, including
diagnostic, confrontive, level, or process. This
book classi�ies them according to individual, group or team, or
organization level.
The criteria for making an effective intervention include basing
the intervention on valid data, verifying the
client’s free and informed choice to proceed, and establishing
the client’s commitment to learning and
change.
During the implementation, consultants should be clear about
the type of consulting role they want to play.
Roles vary from less-involved observation of the
implementation to active engagement in providing
feedback, modifying the plan, and providing needed training
and support. The role the consultant plays will
depend on how skilled the client is at leading and facilitating
change.
It is important to promote learning related to the intervention by

encouraging re�lective practice, helping
employees see the connection between learning and change, and
facilitating client learning by building
principles of andragogy (effective adult learning) into the
intervention.
Theory U embraces the idea that energy follows attention. In
consulting, this means consultants need to
keep clients focused on the outcomes they seek rather than the
problems they want to avoid.
Interventions fail for multiple reasons, including lack of change
readiness, resistance, poor levels of
management communication and support, and a �lawed OD
process that results in the wrong problem being
solved, ambiguous goals, inadequate time being allotted, poor
design, ineffective consulting, failure to
ensure client accountability, and lack of organization
commitment.
Ethical issues abound in OD. During the intervention phase,
such issues include misrepresentation,
collusion, and coercion.
Resistance to change can be overcome by open and regular
communication from management that engages
employees in the change’s planning and implementation and
acknowledges the fears and concerns that
underlie resistance.

Change can be sustained by regular communication, broad
engagement of employees in monitoring the
change, rewarding and recognizing employees who are
committed to the change effort, and providing the
necessary learning and support.
1. The chapter began with a vignette about a Leadership
Academy for a state public health agency. Can you
recall an intervention you participated in? What was it? How
was it executed?
2. Recount a time you or someone you know participated in an
OD intervention led by a consultant. What were
the outcomes and consequences? How well did the consultant
do, based on the principles presented in this
chapter?
3. Think back to a change you experienced in either your
professional or personal life. How applicable are the
principles on andragogy to your experience?
4. When was the last time you took time to re�lect on your
assumptions, thoughts, and actions related to an

idea, practice, or process? Make an appointment with yourself
to engage in some deep thinking and journal
about what emerges.
5. Assess the changes you have made in your life or
organization and evaluate how well you maintained the
change. Do you agree with the argument that change is easier to
make than maintain? Why or why not?
1. Use the transtheoretical model of health behavior change to
assess a change you have made. Did you follow
the steps? Why or why not?
2. In Chapter 4 one of the activities was to identify a problem in
your organization and plan a data collection
process to examine the issue. Assuming you did that, how would
you go about planning an intervention to
address it? What level(s) of intervention would be most
appropriate (individual, group, and organizational)?

3. Refer back to the Tips and Wisdom box in section 5.2 and
reclassify French and Bell’s 14 types of
interventions into the model we are using in this book
(individual, team, and organization).
4. Using Table 5.5, take a real example of implementation and
identify speci�ic roles and strategies you would
use to support the intervention implementation.
5. Go back to the case study in section 5.4 and use the key
points in this chapter about change readiness and
resistance to change to identify at least �ive mistakes made by
the division president and consultant during
the change process.
6. Have you experienced a failed OD intervention? If so, use the
information presented in this chapter on
effective interventions and reasons interventions fail to
diagnose what went wrong.
7. Study the Theory U model using the information at the
website or in the book identi�ied below. Apply its
steps to a behavior change, organization change, or new
learning you have made or hope to make.

8. Using Hord and Roussin’s (2013) readiness for change
checklist presented in Table 5.2, assess your
readiness to make a change that is impending.
AdditionalResources
Media
TheoryU:AnInterviewWithDr.Otto
https://www.youtube.com/watch?v=k8HKxvKVUsU(https://ww
w.youtube.com/watch?v=k8HKxvKVUsU)
ChangeIsGood...YouGoFirst
https://www.youtube.com/watch?v=jwxrsngEJDw(https://www.y
outube.com/watch?v=jwxrsngEJDw)
FurtherReading
Merriam, S. B., & Bierema, L. L. (2014).
Adultlearning:Linkingtheoryandpractice. San Francisco: Jossey-
Bass.
Scharmer, C. O. (2009).
TheoryU:Leadingfromthefutureasitemerges.San Francisco:

Berrett-Koehler.
KeyTerms
andragogy
The art of teaching adults; a series of principles for effectively
facilitating adult learning.
confrontiveinterventions
Activities that occur as a result of the data collected and
analyzed during the action research process.
diagnosticinterventions
https://www.youtube.com/watch?v=k8HKxvKVUsU
https://www.youtube.com/watch?v=jwxrsngEJDw
Activities that occur during the OD–action research process of
contracting, initial meetings, or data collection that
address issues as they arise.
interventionactivity
A single event, task, meeting, or workshop implemented to
address a problem or issue in the organization.

interventionstrategy
A sequence of tasks or series of intervention activities that
occur over several weeks or months to address a
problem or issue in the organization.
readinessforchange
A perception that making a change is necessary and achievable
and that willingness to support the change effort
exists.
re�lectivepractice
The process of questioning the assumptions that underlie
thoughts and actions.
resistance
An expression of stress, negativity, or cynicism toward a change
that can thwart achieving the change goal, along
with the general absence of change readiness.
sharedvision
A mutual picture of a desired future state that an organization’s
members seek to achieve together.
TheoryU

Embraces the idea that energy follows attention. In consulting,
this means consultants need to keep clients
focused on the outcomes they seek rather than the problems they
want to avoid.
6 Action Research: The Checking Phase
DragonImages/iStock/Thinkstock
LearningObjectives
Describe evaluation according to how it is de�ined and what
steps encompass it.
Identify the types and categories of evaluation.
Examine different frameworks of evaluation.
Determine how to plan and perform an evaluation, including
de�ining its purpose, identifying
appropriate measures, using the most appropriate data collection

methods, analyzing data, sharing
feedback, and anticipating and managing client resistance.
Explore strategies for concluding the action research process,
including terminating the
consultant–client relationship or recycling the intervention.
KaiChiang/iStock/Thinkstock
TheLeadershipAcademyisofftoa
livelystart.
InChapter5welearnedaboutthePublicHealthLeadershipAcademy,
whichwasfoundedbyamajoruniversityusing
fundsfromafederalgranttopromoteleadershipdevelopmentamongp
ublichealthemployeesinasouthernstate.The
projectinvolveddevelopingaLeadershipAcademyformidlevelman
agerswhoexhibitedpotentialtoadvancetohigher
levelsofpublichealthleadershipinthestate.Theinterventionwasinre
sponsetoalong-termneedbasedonprevious
analyses of the state’s public health agency, including
succession planning. This need had existed for many years
becausetherewerenotenoughpublicfundsavailabletoprovideacom
prehensiveprogram.Thegrant�inallycreated

theopportunitytodeliverthismuch-
neededprogram.James(theclient)workedwithLeah(theexternalcon
sultant)to
planandimplementtheprogram.
JamesandLeah engaged in action research to collect and analyze
data about the needs of the target population
(midlevelpublichealthmanagers)usinginterviewsandsurveystodet
erminethecontentofthecoursesthatwouldbe
offeredintheLeadershipAcademy.Theprojecthada2-
yearimplementationtimeline,withyear1focusedonplanning
andyear2devotedtoimplementation.Evaluationwould be ongoing
and continue past year 2 with a new cohort
startinginyear3,staffedbyinternalconsultants.
Duringtheyear1planningphase,JamesandLeahwereveryinvolvedin
collectingdatatoinformthe content and
processoftheLeadershipAcademy.Theycontinuallystoppedtore�l
ectontheirdecisions, plans, and processes and
madeadjustmentstoeachastheprojectunfolded.Theyalsopilotedthe
�irstsessionamongasmallgroupofadvisorsto
theLeadershipAcademytomakesuretheirdesignwouldresonatewith
theparticipants.They made more changes
followingthepilottoimprovetheprogram.

During year 2, 25 managers chosen for the academy participated
in
monthlyleadershipdevelopmentexperiencesandseminars.TheLead
ership
Academy began in September with these 25 managers, who had
been
competitivelyselectedfromacrossthestate.Theparticipantsconven
edata
resort,andtheprogramwas kicked off by high-level state public
health
of�icials.The�irstsessionlasted3days,duringwhichtimethepartic
ipants
receivedtheresultsofaleadershipstylesinventory,listenedtoinnova
tive
lecturesandpanelsonleadership,plannedanindividualleadershippr
oject
in their districts, and engaged with each other to develop
working
relationships. The academy continued meeting monthly for a
year and
focused on a range of topics related to leadership that were
prioritized
basedonpriordatacollection.Thegrantprovidedforanevaluator,sod
ata
werecollectedateachmeeting.

The �irst 2 years of the project involved ongoing assessment of
the
academy’s plans and implementation, followed by appropriate
adjustments.JamesandLeahincludedcyclesofassessmentandadjust
ment
asaregularpartoftheiragendaandconversation.
Theevaluatorobservedallofthesessionsandsentoutformalevaluatio
ns
aftereachmonthlysession.Duringthesessions,facilitatorsregularly
asked
participantstoprovidefeedback.Forexample,theywereaskedtoresp
ond
to questions like, “How did that exercise work for you?” “How
are you
lookingatthisnow?”and“Howcouldwedothisbetter?”Theevaluatio
n
data contributed to changes to the planned curriculum and
program
activities.Forexample,theparticipantstookaninventorytoassesslea
dershipstyleandwantedtospendmoretimeon
thetopic,sothenextmonth’sagendawasadjustedto accommodate
the request. Participants complained that the
sequencingoftopicswasnotlogical,sotheagendaforthesecondcohor

ttofollowinyear3oftheprojectwasadjusted.
The�irstcohortgraduatedatits�inalsession,duringwhichthecohor
twelcomedthemembersofthenewcohort.Leah
hadworkedwithaninternalteamofconsultantsthroughouttheimple
mentation,andtheteamwasreadytotakeover
thefacilitationwiththesecondcohort.Followingtheevent,Leahmet
withJamesandthenewteamtotieuplooseends
andmakethetransition.ShemetperiodicallywithJamesduringthethi
rdyeartoensurethattheLeadershipAcademy
wasrunningsmoothly.
As this vignette illustrates, although checking is the third phase
of the action research process, it takes place during
the planning and doing phases as well. This chapter focuses on
checking, in which the implementation is evaluated
to see if it solved the problem (see Table 5.1).
zimmytws/iStock/Thinkstock
Evaluationhelpsassessthe
effectivenessandimpactofOD

interventionsbyanalyzingdatasuch
asemployeesatisfactionsurveys.
6.1De�iningEvaluation
The �inal phase of action research involves three steps. First,
the consultant and client gather data about the key
changes and learning that have occurred. This step is known as
assessingchanges. Next, the consultant uses these
data to assess if the intended change occurred. Was the change
implementation effective? Were the proposed
outcomes met? As a result of this assessment, the consultant
adjusts the intervention accordingly. This step is
known as adjustingprocesses. The third step is to terminate the
OD process or repeat it to correct or expand the
intervention (known as recycling). Assessment, adjustment, and
terminating or recycling are collectively known as
evaluation.
PurposesofEvaluation
The overall purpose of conducting an evaluation is to make
data-based decisions about the quality, appropriateness,
and effectiveness of OD interventions. Evaluation helps us
determine whether an intervention’s intended outcomes

were realized and assess and adjust the intervention as needed.
Evaluation helps ensure accountability and
knowledge generation from the intervention.
An evaluation creates criteria of merit, constructs standards,
measures
performance, compares performance to standards, and
synthesizes and
integrates data into a judgment of merit or worth (Fournier,
1995).
Evaluation �indings help render judgments, facilitate
improvements, or
generate knowledge (Patton, 1997). Evaluations used to render
judgments focus on accountability for outcomes such as holding
management responsible for making changes in leadership.
Improvements concentrate on developmental processes such as
creating
new learning and growth. Knowledge generation emphasizes
academic
contributions such as new insights that may change a process.
EstablishingaBenchmark
To illustrate how evaluation helps OD consultants assess and
adjust an

intervention, let us consider an organization that has conducted
survey
research to assess employee satisfaction. The �irst year creates
a
benchmark that can be used in future evaluations. Further, let us
imagine that employee satisfaction is at a
moderately satis�ied level the �irst time it is measured. When
the survey research instrument on employee
satisfaction is replicated in future years, the level of
satisfaction will be compared with the original baseline to
evaluate whether the organization is doing worse, the same, or
better than it had originally. The evaluation can help
the organization identify key changes and learning that occurred
as a result of the intervention. Then the
organization can adjust practices accordingly.
The American Productivity and Quality Center developed a
benchmarking de�inition that represented consensus
among 100 U.S. companies:
Benchmarking is a systematic and continuous measurement
process; a process of continuously measuring and
comparing an organization’s business process against business
process leaders anywhere in the world to gain

information, which will help the organization take action to
improve its performance. (as cited in Simpson,
Kondouli, & Wai, 1999, p. 718)
WhoInventedThat?Benchmarking
When an organization compares its business processes,
practices, and performance standards to other
organizations that are considered best in class, they are
engaging in benchmarking. The exact derivation
of the term benchmarking is unknown. It is thought to have
possibly originated from using the surface of a
workbench in ancient Egypt to mark dimensional measurements
on an object. Alternatively, surveyors may
have used the term to refer to the process of marking cuts into
stone walls to measure altitude of land
tracts, and cobblers may have used it to describe measuring feet
for shoes (Levy & Ronco, 2012).
Benchmarking in U.S. business emerged in the late 1970s.
Xerox is generally considered the �irst
corporation to apply benchmarking. Robert Camp (1989), a
former Xerox employee, wrote one of the

earliest books on benchmarking. Camp described how U.S.
businesses took their market superiority for
granted and were thus unprepared when higher quality Japanese
goods disrupted U.S. markets.
Benchmarking is a speci�ic type of action research, but the
process can also be applied during OD intervention
evaluations. There are several types of benchmarking (Ellis,
2006), including:
Competitive: uses performance metrics to assess how well or
poorly an organization is performing against
direct competitors, such as measuring quality defects between
the companies’ products.
Comparative: focuses on how similar processes are handled by
different organizations, such as two
organizations’ recruitment and retention activities.
Collaborative: involves sharing knowledge about particular
activity between companies, with the goal of
learning.
Almost any issue of interest can be benchmarked, including
processes, �inancial results, investor perspectives,
performance, products, strategy, structure, best practices,
operations, management practices, and so forth.

Benchmarking could be part of the data collection process in
OD, an intervention, or the basis of an evaluation. Table
6.1 shows typical benchmarking steps.
Table6.1:Typicalbenchmarkingprocess
Benchmarkingstep Example
1. Identify
process,
practice,
method, or
product to
benchmark.
Identifying best practices for recruiting and retaining a diverse
workforce.
2. Identify the
industries
with similar
processes.
Finding the companies that are best at retaining a diverse
workforce, even those in a

different industry.
3. Identify
organization
leaders in a
target area.
Selecting the organizations against which to benchmark.
Benchmarkingstep Example
4. Survey the
selected
organizations
for their
measures
and
practices.
Sending a survey to the target companies asking for information
on issues like turnover
and hire rates, formal retention programs (e.g., orientation,
development), management

training and rewards, and so forth.
5. Identify best
practices.
Analyzing data to identify best practices to implement. Analysis
depends on the type of
data collected, whether it is statistical (quantitative data), such
as from a survey of
employees on attitudes about diversity, or interpretive
(qualitative data), such as from
interviews with employees who quit.
6. Implement
new and
improved
practices.
Implementing best practices, such as new recruitment and
retention strategies, af�inity
groups, or rewards for managers who develop a diverse staff.
OtherPurposesofEvaluation
Caffarella (1994) and Caffarella and Daffron (2013) identi�ied

12 speci�ic purposes of evaluation data. Evaluation
helps to
1. adjust the intervention as it is being made in terms of design,
delivery, management, and evaluation;
2. keep employees focused on the intervention’s goals and
objectives;
3. provide information to inform the continuation of the
intervention;
4. identify improvements needed to design and deliver the
intervention;
5. assess the intervention’s cost-effectiveness;
6. justify resource allocations;
7. increase application of participants’ learning by building in
strategies that help them transfer learning back
to the organization;
8. provide data on the results of the intervention;
9. identify ways to improve future interventions;
10. cancel or change an intervention that is poorly designed or
headed for failure;
11. explore why an intervention fails; and
12. provide intervention accountability.

Moreover, during the planning phase, evaluation can help
consultants assess needs and make decisions about how
best to intervene. The Leadership Academy’s goal was to
improve leadership, but James and Leah had to assess the
content that would be most appropriate for leadership in public
health. Then, when the participants were selected,
they had to make further assessments to ensure the program was
relevant to the participants’ particular needs.
Evaluation may also help test different theories and models of
addressing the problem. In the case of the Leadership
Academy, James and Leah based their interventions on theories
and models of leadership. They threw out what did
not resonate with the participants or work well during sessions
and revised the program for the second cohort.
Evaluation also helps monitor how the intervention is going
during implementation so it can be adjusted
accordingly. Such adjustments occurred throughout the
Leadership Academy implementation over the course of a
year.
Finally, evaluation helps determine whether the intervention

goals were met and what impact the change had on
individuals and the organization. Measuring this type of impact
may require more longitudinal study than other
types of evaluation. The evaluation of impact helps consultants
decide whether to extend the intervention, change it,
or abandon it altogether. The Leadership Academy will be
continually reevaluated as new cohorts participate each
year.
Clearly, evaluations have the potential to accomplish a variety
of goals. Throughout the OD process, it is critical to
stay focused on an evaluation’s purpose. Have you experienced
any of the evaluation activities discussed here?
StepsinEvaluation
Just as with action research models, so too are there many
approaches to undertaking evaluation. That is, there are
different ways to model the steps in the process. Two are
discussed here.
EvaluationHierarchy
Rossi, Lipsey, & Freeman (2004) offered an evaluation
hierarchy that recognizes the importance of engaging in

evaluation from the beginning of the action research process.
That is, evaluation should occur during the initial
client contacts, be built into the plan for intervention, and be
ongoing throughout the implementation, prior to the
formal assessment of the intervention’s impact, cost, and
ef�iciency. Doing evaluation is a matter of conducting a
mini-action research project.
Caffarella’sSystematicProgramEvaluation
Caffarella (1994) outlined the steps generally taken during an
evaluation. Her steps have been modi�ied to address
key OD issues in the following points. Caffarella’s steps are
intended to be sequential under ideal conditions,
although reality may be quite different. Note that Caffarella has
proposed a lot of steps. She has elaborated more on
the steps than some other models but still follows an action
research process.
1. Secure support for the evaluation from stakeholders such as
the client and key management. This step
should be a provision of the contract as discussed in Chapter 3.
It is the process of getting management to
commit to the time and resources needed to evaluate the
process, as well as being willing to pay attention to

the �indings.
2. Identify individuals who can be involved in planning and
overseeing the evaluation, such as the participants,
management, client, and others impacted by the intervention.
This is usually led by the consultant and client
and would involve employees who are engaged in the
implementation. It could also involve those affected by
the change who did not necessarily participate in it, such as
customers or suppliers.
3. De�ine the evaluation’s purpose and how the results will be
used. This step is elaborated on in a later section
of this chapter. The evaluation’s focus should be determined
and then built accordingly. For example, is it
aimed at improving a process or judging an outcome? Does it
pertain to planning the intervention or the
intervention itself ? Is it aimed at assessing adherence to budget
or performance outcomes?
4. Specify what will be judged and formulate the evaluation
questions. This step is driven by the evaluation’s
purpose. If you decide to evaluate how satis�ied employees are
with a new performance appraisal process,
questions should relate to that change and be used to judge

whether it was effective and should continue.
5. Determine who will supply the evidence, such as participants,
customers, management, employees, or
others affected by the intervention.
6. Specify the evaluation strategy in terms of purpose,
outcomes, time line, budget, methods, and so forth.
7. Identify the data collection methods and time line. Data
collection was discussed extensively in Chapter 5.
The selected methods should best match the evaluation’s
purpose.
8. Specify the data analysis procedures and logistics (covered in
Chapter 5). However, the analysis is oriented
around making decisions and changes to the intervention, not on
diagnosing the problem.
9. De�ine the criteria for judging the intervention. This can be
somewhat subjective unless the metrics are
de�ined in advance. For example, if the intervention were
aimed at improving employee retention, would a

consultant measure simply whether it improved or look for a
certain benchmark (such as 10%) to deem it
successful?
10. Complete the evaluation, formulate recommendations, and
prepare and present the evaluation report. These
steps mirror the data analysis steps presented in Chapter 5 and
the feedback meeting strategies in Chapter
4.
11. Respond to recommendations for changes as appropriate.
Table 6.2 compares the action research model to Rossi, Lipsey,
and Freeman’s and Caffarella and Daffron’s
evaluation steps. They vary in terms of detail and number, but
essentially follow the three phases of action research.
Table6.2:Comparingtheactionresearchmodeltoevaluationmodels
Action
research
model
Rossi,Lipsey,and
Freeman

CaffarellaandDaffron
Planning 1. Assess intervention
cost and ef�iciency.
2. Assess intervention
outcome or impact.
1. Secure support for the evaluation from stakeholders.
2. Identify individuals who can be involved in planning and
overseeing the evaluation.
3. De�ine the evaluation’s purpose and how the results will
be used.
4. Specify what will be judged and formulate the evaluation
questions.
5. Determine who will supply the evidence.
6. Specify the evaluation strategy in terms of purpose,
outcomes, timeline, budget, methods, and so forth.
7. Identify the data collection methods and time line.
8. Specify the data analysis procedures and logistics.

9. Determine the speci�ic timeline and the budget needed to
conduct the evaluation.
Doing 3. Assess intervention
implementation.
10. Complete the evaluation, formulate recommendations,
and prepare and present the evaluation report.
Checking 4. Assess intervention
design and theory.
5. Assess need for the
intervention.
11. Respond to recommendations for changes as appropriate.
Caffarella and Daffron’s steps are comprehensive, covering the
key tasks that must be completed during an
intervention’s evaluation. However, it may not always be
possible to follow these clearly articulated steps; evaluation
can be unpredictable and may present challenges that are often
unanticipated. For example, if an implementation
has been challenging, a client may balk at the evaluation out of

fear of receiving negative feedback; on the other
hand, employees may be reluctant to participate if trust levels
are low. Thus, it helps to pay attention to relevant
dynamics and expect the unexpected.
Evaluation provides critical information about an intervention’s
impact both during and after its implementation.
Thus, no matter what model is followed for performing an
evaluation, it is essential to begin planning it before the
intervention is well underway. A consultant’s job is to ensure
that evaluation is integrated into the OD process from
start to �inish. Unfortunately, evaluation is often overlooked in
favor of wanting simply to take action on the problem,
and too many consultants consider their work �inished once the
intervention has occurred. In other cases
consultants go about evaluation haphazardly. If they cannot
demonstrate that their action was effective, however,
they risk undermining their client’s con�idence in the OD
effort, fail to permanently solve the problem, and put
themselves at risk of repeating similar mistakes on future
assignments.

TakeAway6.1:De�iningEvaluation
Evaluation is a process of assessing, adjusting, and terminating
or recycling the intervention based
on data and subsequent decisions.
The purpose of evaluation is to make data-based decisions about
an intervention’s quality,
appropriateness, and effectiveness.
worldofvector/iStock/Thinkstock
Formativeevaluationinvolves
makingassessmentsandadjustments
duringtheactionresearchprocessto
reachestablishedgoals.
6.2TypesandCategoriesofEvaluation
Theorists have proposed different types and categories for
evaluation. This section identi�ies some of these different
approaches.
TypesofEvaluation

Evaluation can be either formative or summative, depending on
the intervention’s goal (Scriven, 1967, 1991a,
1991b). Scriven is considered a leader in evaluation; you can
view one of his lectures by visiting the media links
provided at the end of this chapter.
FormativeEvaluation
Making changes to an implementation that is already in progress
is called
doing a formativeevaluation. Formative evaluation is concerned
with
improving and enhancing the OD process rather than judging its
merit.
The following types of questions might be asked when
conducting a
formative evaluation:
What are the intervention’s strengths and weaknesses?
How well are employees progressing toward desired outcomes?
Which employee groups are doing well/not so well?
What characterizes the implementation problems being
experienced?
What are the intervention’s unintended consequences?
How are employees responding? What are their likes, dislikes,

and desired changes?
How are the changes being perceived culturally?
How well is the implementation conforming to budget?
What new learning or ideas are emerging?
For example, consider an intervention focused on changing
reporting
relationships as part of a work redesign in a manufacturing
plant. A
consultant might discover that some of the new arrangements do
not make sense once implemented. These might
therefore be modi�ied as the work redesign progresses. Asking
questions pertaining to the problems, the employees’
perspectives, their likes and dislikes, and so forth yields
information that helps tweak and improve the process.
Formative evaluation is generally ongoing throughout the
implementation.
SummativeEvaluation
Undertaking evaluation at the end of the OD implementation,
with the goal of judging whether the change had the
intended outcomes and impact, is called summativeevaluation.
Summative evaluation is also known as outcome
or impact evaluation because it allows the intervention’s overall

effectiveness to be ascertained. A consultant can
then decide whether to continue or terminate it (Patton, 1997).
The following types of questions might be asked by
the consultant, management, or an external evaluator when
conducting a summative evaluation:
Did the intervention work?
Did the intervention satisfactorily address the performance gap?
Should the intervention be continued or expanded?
How well did the intervention stick to the budget?
Summative evaluations should follow four steps:
1. Select the criteria of merit—what are the sought metrics?
2. Set standards of performance—what level of resolution is
sought?
3. Measure performance—conduct the evaluation.
4. Synthesize results into a judgment of value. (Shadish, Cook,
& Leviton, 1991, pp. 83–94)
Adequate levels of both formative and summative evaluation
must be incorporated into the OD process. Failure to

conduct formative evaluation leads to missed opportunities to
adjust and improve on the implementation as it is in
progress. Omitting the summative evaluation means never
learning the intervention’s outcomes and impact or
lacking adequate data on which to base future decisions.
Cervero’sEvaluationCategories
Cervero (1985) identi�ied seven categories of evaluation for
planners of educational programs that have relevance
for OD. His list has been adapted for OD interventions in terms
of categories of evaluation:
1. Interventiondesignandimplementation. This could be either
formative or summative, since the design and
intervention are assessed for �it and impact. Imagine
implementing a new performance appraisal process.
Formative evaluation might involve piloting the evaluation and
evaluating how well it worked for both
employees and supervisors. The performance appraisal would
then be modi�ied and implemented.
Summative evaluation in this case might examine whether the
new performance appraisal process improved
performance, satisfaction, and learning.

2. Employeeparticipation. This type of evaluation assesses
employees’ level of involvement in the intervention.
This could also be formative or summative. In the case of
performance evaluation, a consultant might
examine the level of involvement and seek feedback from
employees. A summative evaluation might
evaluate whether the level of employee participation was
adequate and whether it yielded positive
outcomes.
3. Employeesatisfaction. This type of evaluation assesses
employees’ level of satisfaction in the intervention.
This could also be formative or summative. In the case of
performance evaluation, a consultant might
examine the level of satisfaction with the new performance
appraisal or its implementation process. A
summative evaluation might evaluate how satis�ied employees
are once the new performance appraisal
system is in place.
4. Acquisitionofnewknowledge,skills,andattitudes. This type of
evaluation measures learning during and after
the intervention and could also be formative or summative. In
the case of performance evaluation, a
consultant might examine the level of involvement and seek

feedback from employees. A formative
evaluation during the pilot phase might determine that
supervisors lack the skills to effectively implement
the new process and give the level of feedback desired. It would
allow the consultant and client to revise the
process and provide adequate training to supervisors. A
summative evaluation would assess the level of
learning from the new performance appraisal system. This could
take the form of employees improving their
performance and supervisors showing demonstrated
improvement in their ability to give feedback.
5. Applicationoflearningaftertheintervention. This category is
similar to the previous one, but it is
summative; it judges how learning was applied after the
intervention. A consultant might look for evidence
of how supervisors applied what they learned about giving
effective performance feedback to other
interactions with employees throughout the year.
6. Theimpactoftheinterventiononindividualsandtheorganization.
This category could be formative or
summative. The formative evaluation might look at how the
intervention impacts organization life via
communication, understanding, participation, satisfaction, and

so forth. A summative evaluation would look
at the overall impact on satisfaction, �inancial performance,
retention, job satisfaction, and so forth.
7. Interventioncharacteristicsassociatedwithoutcomes. This type
of evaluation attempts to link aspects of the
intervention to outcomes and is summative. This can be more
dif�icult to measure if the intervention was
complex or had several interventions built into it. A consultant
might evaluate how a participative process
affected the implementation’s overall success or employee
satisfaction.
If you have had the opportunity to evaluate organization change
efforts, have you experienced any evaluative
measures on Cervero’s list? Which ones would be most relevant
for the Leadership Academy vignette? Can you think
of other categories that might be added to Cervero’s list?
TakeAway6.2:TypesandCategoriesofEvaluation
Evaluation can be formative or summative. Formative
evaluation is concerned with improving and

enhancing an OD process as it is underway, rather than judging
its merit. Summative evaluation
occurs after the implementation is complete and ascertains
whether the change accomplished the
desired outcomes and impact. Both provide valuable ways to
assess the intervention before,
during, and after it has occurred.
Cervero’s categories of evaluation show the different
approaches to evaluation. It is important to
be clear on an evaluation’s purpose at the planning stage.
Typical evaluation categories include
intervention design and implementation; employee participation
and satisfaction; acquisition of
new knowledge, skills, and attitudes; application of learning
after the intervention; impact of the
intervention; and intervention characteristics associated with
outcomes.
Figure6.1:Reactionevaluationusing
asmilesheet
Thereactionevaluationsheetshownhereis
justonewaytosolicitfeedbackfroman

audience.
6.3FrameworksofEvaluation
This section pro�iles some common evaluation frameworks.
There is no “best” framework. Rather, you should �ind
what you are comfortable working with and what effectively
�its the situation.
Kirkpatrick’s4-LevelFramework
Kirkpatrick’s (2006) 4-level evaluation framework can be
formative or summative and is one of the most widely
known evaluation typologies that became popular in the 1990s.
It was originally created to evaluate training
programs, and OD consultants use it to conduct evaluation at a
range of points over time. The framework classi�ies
an intervention’s outcomes into one of four categories—
reaction, learning, behavior, or results (see Table 6.3). An
outcome is assigned a category based on how dif�icult it is to
evaluate. For example, the simplest type of outcome to
evaluate is participant reaction to the intervention. Thus, this is
assigned level 1.
Table6.3:Kirkpatrick’s4-levelevaluationframework

Level Focus Examines
1 Reaction Did participants like the intervention?
2 Learning What skills and knowledge did participants gain?
3 Behavior How are participants performing differently?
4 Results How was the bottom line impacted?
Level1Evaluation
Level 1 measures participant reaction to the intervention. This
type of evaluation is sometimes referred to as a “smile sheet”
because it measures only what participants thought and felt
during
or immediately after an intervention, and in very simple terms—
whether they were satis�ied, neutral, or dissatis�ied. As an
example,
consider the Leadership Academy vignette. At this level of
evaluation, the consultants might ask the academy participants
questions such as: “How well did you like the session?” “Was
the
learning environment comfortable?” “Were the facilitators

capable
and credible?” and “Did you feel it was time well spent?” This
type
of evaluation may make facilitators feel good about introducing
an
intervention, but it does not effectively measure change.
Unfortunately, it is the most common form of evaluation
employed
in organizations.
Level2Evaluation
Level 2 measures participant learning from an intervention. This
level of evaluation assesses whether the intervention helped
participants improve or increased their knowledge or skills. At
this
level, James and Leah might ask the Leadership Academy
participants, “What was the key thing you learned from this
session?” or “What new skills have you acquired as a result of
this
experience?”This type of evaluation works best after
participants

have had a chance to return to their workplace and apply the
principles and behaviors they learned (and thus is summative).
Participants might also be interviewed or surveyed about
learning
during the course of the intervention (which would be
formative).
TipsandWisdom
If you are facilitating a meeting, workshop, or seminar and want
to gauge a participant’s reaction to the
event, create an opportunity for them to share feedback. One
way to do this is to put a �lip chart page with
the smiley face symbols shown in Figure 6.1 in the hall outside
the session room. Give participants a dot
apiece and ask them to place it in the column that best
represents how they feel about the session so far. It
is important to place the chart out of your eyeshot so people
feel comfortable sharing honest feedback.
This offers a snapshot of participants’ reactions and allows you
to make adjustments in the moment. You
can also use Twitter or other social media to solicit this data.
Level3Evaluation

Level 3 measures changes in behavior. This level of summative
evaluation assesses whether participants are using
their new knowledge or skills in their job. At this level James
and Leah might ask Leadership Academy participants,
their supervisors, or subordinates: “To what extent has the
leader’s behavior changed and improved as a result of
the Leadership Academy?” or “What is the person doing
differently now?”Similar to level 2, this type of evaluation is
best done post intervention. It can be accomplished by
interviewing, observing, or surveying participants and
stakeholders affected by the intervention.
Level4Evaluation
Level 4 measures results for the organization. This level of
summative evaluation measures how the intervention
affected business performance or contributed to the achievement
of organization goals. At this level James and Leah
might ask Leadership Academy participants, their supervisors,
or subordinates: “How has the organization
bene�ited from the Leadership Academy?” “To what degree has
employee satisfaction, productivity, or performance
improved?” “To what degree has recruitment and retention of
employees improved as a result of improved
leadership?” “How many promotions have occurred as a result

of participating in the academy?” or “How much
money has the organization saved due to better leadership
decisions?” As these questions indicate, it might be
dif�icult to actually measure and attribute changed leadership
to organization results and outcomes.
Kirkpatrick continued to evolve his model and even questioned
whether it was a true model or just a guideline. He
also expanded his focus to consider an intervention’s cost–
bene�it ratio and whether it demonstrated a return on
investment. Measuring these variables can also present
challenges to organizations and OD consultants.
Lawson’sApplicationofKirkpatrick’sFramework
Building on Kirkpatrick’s framework, Lawson (2006)
categorizes variables relating to the what, who, when, how,
and why of the framework’s use. Her approach has been adapted
for OD and is depicted in Table 6.4.
Table6.4:ApplyingKirkpatrick’sframeworktoODinterventions
Level What Who When How Why

1 Reaction: Did
they like it?
Participants During or
after the
intervention
Smile sheet Determine level of participant
satisfaction and need to revise
intervention if duplicated
2 Learning:
What
knowledge or
skills were
retained?
Participants
and
consultants
During,
before,
and/or after

the
intervention
Pre- and posttests,
skills applications,
role plays, case
studies, and
exercises
Determine whether consultant
has been effective in
implementing intervention
purpose and objectives
3 Behavior:
How are
participants
performing
differently?
Participants,
supervisors,
subordinates,
and peers

3 to 6
months
after
intervention
Surveys, interviews,
observation,
performance, and
appraisal
Determine extent to which
participants transferred their
learning from the intervention to
the workplace
4 Results: What
is the impact
on the bottom
line?
Participants
and control
group
After

completion
of level 3
assessment
Cost–bene�it
analysis and
tracking operational
data
Determine whether the bene�its
outweigh costs and how the
intervention contributed to
organization goals and strategy
Source:AdaptedfromLawson,2006,p.256.
CritiquesofKirkpatrick
Kirkpatrick’s (1987, 1994, 2006) four levels of criteria have
been dominant for decades among evaluators. With
popularity, however, comes criticism. First, the model has been
critiqued for being primarily focused on
postintervention realities; that is, for evaluating what happens
after the intervention versus incorporating more
formative evaluation into the process. The 4-level framework

also does not help evaluators link causal relationships
between outcomes and the levels of evaluation. Finally, the
framework does not help evaluators determine what
changes equate to the different levels of evaluation or how best
to measure each level.
Some authors have suggested expanding the reaction level to
include assessing participants’ reaction to the
intervention techniques and ef�iciency (Kaufman & Keller,
1994). One might also try splitting the reaction level to
include measuring participants’ perceptions of enjoyment,
usefulness, and the dif�iculty of the program (Warr &
Bunce, 1995). Kaufman and Keller (1994) recommended adding
a �ifth level to address the societal contribution and
outcomes created by the intervention, which is becoming more
popular with the higher emphasis on corporate
social responsibility and sustainability. Phillips (1996)
advocated adding a �ifth level that speci�ically addresses
return on investment.
OtherFrameworksofEvaluation

Although the Kirkpatrick model is one of the dominant
evaluation models, it is not necessarily the best or most
appropriate for every situation. This section brie�ly pro�iles
some lesser known evaluation models.
Hamblin’s5-LevelModel
Similar to Kirkpatrick’s model, this model measures reactions,
learning, job behavior, and organizational impacts, as
well as a �ifth level—the economic outcomes of training. The
hierarchy of Hamblin’s (1974) model is more speci�ic
than Kirkpatrick’s in that reactions lead to learning, learning
leads to behavior changes, and behavior changes have
organizational impact. Because of this assertion, Hamblin
believed that evaluation at a given level is not meaningful
unless the evaluation at the previous level has been performed.
PreskillandTorres’sEvaluativeInquiryModel
Preskill and Torres (1999) contributed a model of inquiry to the
literature that uses the evaluation process as a
learning and development opportunity:
Evaluative inquiry is an ongoing process for investigating and
understanding critical organization issues. It is an

approach to learning that is fully integrated with an
organization’s work practices, and as such, it engenders (a)
organization members’ interest and ability in exploring critical
issues using evaluation logic, (b) organization
members’ involvement in evaluative processes, and (c) the
personal and professional growth of individuals
within the organization. . . . (pp. 1–2)
Evaluative inquiry is the fostering of relationships among
organization members and the diffusion of their
learning throughout the organization; it serves as a transfer-of-
knowledge process. To that end, evaluative
inquiry provides an avenue for individuals’ as well as the
organization’s ongoing growth and development. (p.
18)
Their de�inition emphasizes that evaluation is more than
simply reporting survey �indings. Rather than being event
driven, such as sending a survey to participants after the
intervention is over, evaluation should be an ongoing part
of everyone’s job; that is, a shared learning process. Evaluative
inquiry should be focused on
intervention and organizational processes as well as outcomes;
shared individual, team, and organizational learning;

educating and training organizational practitioners in inquiry
skills (action learning);
collaboration, cooperation, and participation;
establishing linkages between learning and performance;
searching for ways to create greater understanding of the
variables that affect organizational success and
failure; and
using a diversity of perspectives to develop understanding about
organizational issues (Preskill &
Catsambas, 2006).
Preskill and Torres (1999) identi�ied four learning processes—
dialogue, re�lection, questioning, and identifying and
clarifying values, beliefs, assumptions, and knowledge—that
facilitate three phases of evaluative inquiry: focusing
the evaluative inquiry, carrying out the inquiry, and applying
learning. The phases are depicted in Table 6.5.
Table6.5:PreskillandTorres’sevaluativeinquiryphases
Focusingtheevaluative
inquiry

Carryingouttheinquiry ApplyinglearningFocusingtheevaluative
inquiry
Carryingouttheinquiry Applyinglearning
Determine issues and
concerns for
evaluation
Identify stakeholders
Identify guiding
questions for the
evaluation
Design and implement the
evaluation (collect, analyze,
interpret data)
Address evaluative questions
Identify and select action
alternatives
Develop and implement
action plans
Monitor progress
Strategies

Focused dialogues
Group model building
Open space
technology
Critical incidents
Assumption testing
through questioning
Strategies
Develop a database for organization
learning
Literature-based discussions
Working session to interpret survey
results (or other data collected)
Framing �indings as lessons learned
Strategies
Capturing concerns,
issues, and action
alternatives
Using technology to
facilitate brainstorming
Developing an action
plan
Solving implementation

issues
At each stage of inquiry, the following skills are used:
1. Dialogue
2. Re�lection
3. Asking questions
4. Identifying and clarifying values, beliefs, assumptions, and
knowledge
Brinkerhoff’s6-StageModel
This model de�ines evaluation as the collection of information
to facilitate decision making (Brinkerhoff, 1989). It
requires that consultants articulate how and why each training
or development activity is supposed to work,
without which comprehensive evaluation is impossible. This
model helps to assess whether and how programs
bene�it the organization; analysis can help trace any failures to
1 or more of the 6 stages of Brinkerhoff ’s model. The
stages are:
1. Goal setting (What is the need?): A need, problem, or
opportunity worth addressing that could be favorably
in�luenced if someone learned something.

2. Program design (What will work?): A program that teaches
the needed topic is created or, if one already
exists, it is located.
3. Program implementation (It is working?): The organization
successfully implements the designed program.
4. Immediate outcomes (Did they learn it?): The participants
exit the program after successfully acquiring the
intended skills, knowledge, or attitudes.
5. Immediate or usage outcomes (Are they keeping and/or using
it?): The participants retain and use what
they learned.
6. Impacts and worth (Did it make a worthwhile difference?):
The organization bene�its when participants
retain and use what they learned.
Input,Process,Output,andOutcomesEvaluation
This model evaluates training programs at four levels (input,
process, output, and outcomes) in terms of their
potential contribution to the overall effectiveness of a training

program (Bushnell, 1990). It is similar to the systems
model introduced in Chapter 2 that considers inputs,
throughputs, and outputs in organization systems.
1. Inputs: trainee quali�ications, instructor abilities,
instructional material, facilities, and budget.
2. Process: value-adding activities such as planning, designing,
developing, and delivering the training.
3. Output: trainee reactions, knowledge and skills gained, and
improved job performance.
4. Outcomes: pro�its, customer satisfaction, and productivity.
This model has the following bene�its:
1. It can help determine whether training programs are
achieving the right purpose.
2. It can help identify the types of changes that could improve
course design, content, and delivery.
3. It can help determine whether students have actually acquired
knowledge and skills.
Steps in the evaluation process:

1. Identify evaluation goals: Determine the overall structure of
the evaluation effort and establish the
parameters that in�luence later stages.
2. Develop an evaluation design and strategy: Select appropriate
measures, develop a data collection strategy,
match data types with experimental designs, allocate the data
collection resources, and identify appropriate
data sources.
3. Select and construct measurement tools: Select or construct
tools that best �it the data requirements and
meet criteria for reliability and validity. Examples include
questionnaires, performance assessments, tests,
observation checklists, problem simulations, structured
interviews, and performance records.
4. Analyze the data: Tie the results of the data-gathering effort
to the evaluation’s original goals.
5. Make conclusions and recommendations and present the
�indings.
TakeAway6.3:FrameworksofEvaluation

Multiple frameworks exist for conducting evaluation. The best
known is Kirkpatrick’s 4-
level evaluation framework. This model measures reaction,
learning, behavior, and results
pertaining to the intervention.
Other models of evaluation include Hamblin’s 5-level model,
Preskill and Torres’s
evaluative inquiry, Brinkerhoff ’s 6-stage model, and the input,
process, output, and
outcomes model.
6.4PlanningandPerformingtheEvaluation
Just as with other aspects of the action research process,
evaluation requires deliberate planning and buy-in from
the client. To plan the evaluation, Cervero (1985) suggests
identifying �ive key factors:
1. What is the purpose of the evaluation?
2. Who needs what information?
3. Are there any practical and ethical constraints?
4. What resources are available?
5. What are the evaluator’s values?

The answers to these �ive questions offer an evaluation a
strong foundation, so it is worth re�lecting with the client
about them. Once clear on these issues, you can get more
speci�ic about evaluation purposes, measurements,
information sources, data collection, data analysis, feedback,
further action, and how to anticipate and manage
resistance. These evaluation steps may look familiar, because
conducting an evaluation is similar to doing a small-
scale action research project. These steps will be explored in the
next sections.
DeterminethePurposeoftheEvaluation
Determining the evaluation’s purpose(s) offers clear focus
moving forward. Referring back to Cervero’s categories of
evaluation may help pinpoint what is being evaluated. For
effective formative evaluation, a consultant should work
with the client to determine what needs to be evaluated
throughout the action research process, particularly
regarding process improvement. For example, in the case of the
Leadership Academy, formative evaluation consisted
of assessing the curriculum for relevance and cost. The
examination of a performance appraisal process change
earlier in the chapter showed how one might assess employees’

satisfaction with their level of participation in the
process or with a pilot phase of the appraisal.
Consultants should also plan the purpose of summative
evaluation. Returning to the example of the Leadership
Academy, it was essential to �ind out whether the participants
learned and applied the new behaviors and skills, and
if so, how their actions impacted their organizations. In the case
of the performance appraisal process change, the
organization wanted to know if it changed supervisor behavior,
improved retention, impacted learning, and
increased performance.
Once an evaluation’s purpose has been decided, a consultant can
begin to identify what questions to ask the
participants. Table 6.6 offers examples of appropriate questions
for different evaluation goals. Questions revolve
around needs assessment, intervention conceptualization,
intervention delivery, outcomes, and costs.
Table6.6:Typicalevaluationquestions
CaseStudy:PilotingandEvaluatingaNewPerformanceAppraisalPro

cess
A paper products manufacturing company begins working with a
consultant to improve employee
retention, since the company has a signi�icantly higher attrition
rate than other companies it benchmarked.
One of the interventions selected during the action research
process is to overhaul the way supervisors
share feedback with employees; the performance appraisal
process will become more developmental than
punitive, ongoing rather than once a year, with no surprises in
the feedback delivered.
Making this change requires developing a new process. A small
design team is formed to advise on the new
performance appraisal process. It includes the consultant, client,
supervisors, and employees. The team
designs an intervention that is based on supervisors providing
feedback in the moment—that is, when
they notice something and want to coach the employee through
it. The model also incorporates periodic
opportunities for the employee and supervisor to meet, focus on
the employee’s developmental plan, and
make adjustments as needed. Once the process is developed, the
team decides to pilot it with a small

department.
Before the pilot begins, the participating employees are briefed
on the intervention and con�irm their
participation. Both the employees and supervisors are trained in
the new method, and the supervisors
receive additional training on how to provide coaching and give
developmental feedback. The design team
begins to study the pilot group’s response by questioning
whether it is meeting the original need of
improving retention and whether the design is best for meeting
the needs. To this end, the design team
holds informal conversations with the employees and
supervisors and asks them questions such as:
What do you like about this new process?
What don’t you like about this new process?
How do you perceive these changes?
Will this work if we expand it further, or would you suggest
changes?
What have you learned in the process?
The informal conversations yield important data that design

team members share during a meeting. There
is general support for the idea, but the supervisors do not
always feel competent to use the new process
correctly; they also feel stressed about the time it takes. The
employees are unsure what the purpose of the
periodic meetings is. Some employees and supervisors are
resistant, feeling either distrust toward the
process or resignation that things will not change.
The design team decides to adjust the process. It provides more
support and training to the supervisors on
how to coach and share feedback, with the expectation that it
will take less time as they become more
comfortable with the process. It also assembles the department
and models an ideal periodic meeting to
touch base on development. The pilot group continues to work
with the process for several more weeks,
with ups and downs.
Prior to rolling out the process to the wider organization, the
design team meets with the pilot department
to see if additional adjustments are needed. The process works
better for most but still has logistical
problems that require further change.

Finally, the company is ready to roll out the changes
organization-wide. It starts with a communication
plan and provide training to all employees. The design team
continues to monitor the process over the next
year.
After the plan has been in place for a year, the design team
comes together and decides to plan and
perform an evaluation to assess whether the new performance
appraisal process met its intended goals.
The steps it follows include:
1. Purpose of the evaluation: To assess whether the new
performance appraisal process increased
employee retention.
2. Identify appropriate evaluation measures: The design team
decided to look at three measures:
a. Retention comparing the year before the intervention to the
year after it.
b. Employee attitudes.
c. Supervisor attitudes.
3. Choose and employ data collection methods: This depends on
the type of data desired and the

question the organization wishes to answer.
a. Attrition records to measure the year-to-year comparison of
retention rates.
b. Survey of employees
c. Interviews of supervisors
4. Analyze data and provide feedback: Once the data were
collected, the consultant and client made
the �irst analysis and then involved the design team. Once the
�indings were re�ined, they shared
them during an open meeting with employees. They also shared
them with supervisors in a
separate meeting to get their feedback and input.
5. Anticipate and manage resistance to the evaluation: Although
the team did review worst case
scenarios for how the organization or employees might resist,
the problems were minimal. For
example, complaints were similar to those it heard throughout
the pilot process from employees
who were skeptical that the new performance appraisal process
would work.

Once the analysis is complete, the design team presents its
�indings to top management. The organization
now needs to determine how effective the intervention was and
whether it would be wise to invest further
in it.
1. Given your knowledge of evaluation, what are some steps the
design team followed in
implementing its evaluation?
2. What steps did the design team miss?
IdentifyAppropriateEvaluationMeasures
Once an evaluation’s purpose has been determined, actions to
measure it should be identi�ied. This book has covered
a range of evaluation techniques. The formative measures that
the Leadership Academy team members identi�ied
allowed them to recruit a small group of top leaders to critique
the curriculum. They followed this with a small pilot
session to troubleshoot and revise the curriculum with an actual
audience. Participants evaluated the academy
throughout the implementation, and adjustments were made

accordingly.
Summative measures could have included any of the examples
listed in the Kirkpatrick discussion, such as
promotions, employee satisfaction, or customer satisfaction. In
the case of the Leadership Academy, measures
included improved performance, promotions, a leadership
project, and team satisfaction. Since a main goal was to
cultivate leaders from within the organization, measuring the
percentage of participants who were promoted from
middle management to executive positions was a key metric for
evaluating the intervention’s success.
ChooseandEmployDataCollectionMethods
With the purpose and measures determined, the consultant
should identify appropriate sourcesofinformation and
methods for gathering the information. For example, if you want
to measure the results of a customer-service
training, you could measure the number of complaints, review
written complaints, or contact customers. The
methods you might use do to this include surveys, documents,
or interviews. Table 6.7 offers an overview of data
collection methods appropriate for evaluation. The more
commonly used methods to collect evaluation data include:

archival data, observations, surveys and questionnaires,
assessments, interviews, and focus groups. Each is
discussed in detail below. Chapter 4 reviewed methods used to
conduct analysis or planning—many of them are
similar.
Table6.7:Evaluationdatacollectionmethods
Evaluation
method
Description
Interviews A conversation with one or more individuals to
assess their opinions, observations, and beliefs.
Questions are usually determined in advance, and the
conversation is recorded.
Evaluation
method
Description

Questionnaires A standardized set of questions intended to
assess opinions, observations, and beliefs that can
be administered in paper form or electronically.
Direct
observation
Viewing a task or set of tasks as they are performed and
recording what is seen.
Tests and
simulations
Structured situations to assess an individual’s knowledge or
pro�iciency to perform some task
or behavior.
Archival
performance
data
Use of existing information, such as �iles, reports, quality
records, performance appraisals, and
so forth.

Product
reviews
Internal or external evaluations of products or services.
Performance
reviews
Written assessments of individual performance against an
established criteria.
Records and
documents
Written materials developed by organizations and communities
(performance appraisals,
production schedules, �inancial reports, attendance records,
annual reports, company and
board minutes, training data, etc.).
Portfolios A purposeful collection of a learner’s work
assembled over time that documents events,
activities, products, and/or achievements.
Cost–bene�it

analysis
A method for assessing the relationship between the outcomes
of an educational program and
the costs required to produce them.
Demonstration Exhibiting a speci�ic skill or procedure to show
competency.
Pre- and
posttests
Instruments used to measure knowledge and skills prior to and
after the intervention to see if
there were changes.
Focus groups Group interviews of approximately 5 to 12
participants to assess opinions, beliefs, and
observations. Focus groups require a trained facilitator.
Source:AdaptedfromCaffarella&Daffron,2013.
ArchivalData
Evaluating the degree of change an intervention produced

requires establishing a baseline of existing information
from employment records, production �igures, or quarterly
reports. These are referred to as archivaldata (or
documents and records). You are not seeking new data, but
using existing data to assess the intervention’s
effectiveness. Archival data are easily accessible, typically
available for no or minimal cost, and useful for providing
historical context or a chronology of events, such as employee
satisfaction over time. The Leadership Academy team
relied on archival data from performance reviews and employee
satisfaction surveys to evaluate impact.
ObservationData
Watching the organization engage in its everyday operations
involves observation. This type of evaluation is based
on detailed descriptions of day-to-day behaviors that cannot be
explored by viewing existing archival records.
Examples of observation data might include checklists of
meeting-leader behaviors completed by one of the team
members, call monitoring forms, listening skills, and body
language. Observation did not play an of�icial role in the

Leadership Academy evaluation process; however, participants’
supervisors observed the changes they made in
their approach to their work and documented these in their
performance reviews. Data collection by observation
can range from routine counting of certain occurrences to
writing narrative descriptions of what is being observed.
SurveysandQuestionnaires
Surveysandquestionnaires are helpful for measuring the
intervention’s effects. They should be completed by
respondents with some experience related to the intervention. In
the Leadership Academy vignette, the consultants
used surveys to gather participants’ input on their individual
leadership styles during the program. Other examples
include end-of-course reaction forms or surveys of stakeholders
such as customers, employees, or management.
Surveys and questionnaires might also be appropriate when
evaluators desire new data from multiple individuals
who may be dispersed throughout the organization. Surveys and
questionnaires are relatively inexpensive and easy
to administer, particularly with the use of technology. It is
important that these instruments be well constructed;
their wording must be unambiguous, and they must be easy to
complete.

Paper,Pencil,orComputer-BasedTests
Consultants can administer a variety of commercially produced
tests to assess the knowledge or skills imparted by
an intervention, or they can develop an original test unique to
the intervention. No matter the type of test employed,
the evaluation result is based on the test scores. This type of
evaluation works well when trying to determine the
quantity and quality of the participants’ education. OD
consultants might administer a pretest before an
intervention and a posttest afterward, or they might require
participants to pass a test to attain a certi�icate of
completion.
Tests should be cautiously designed and prudently administered.
First, questions must be written in a way that
consistently and accurately measures what was taught. Second,
participants may perceive test taking as threatening,
especially if the results will be used to make performance
appraisal decisions. Therefore, efforts to defuse test
apprehension should be built into the process.
This very book uses some of these tools. Teaching you about
OD is the intervention, which is executed via concepts

presented in book form. Additional interventions take the form
of assignments and opportunities to engage with
other learners. Pre- and posttests check your prior knowledge on
the topic and gauge how well you learned the
concepts after you engaged them.
IndividualandFocusGroupInterviews
Chapter 4 discussed interviews and focus groups as effective
ways of understanding targeted individuals’ or groups’
views, beliefs, or experiences with the issue under
investigation. Both approaches depend on developing well-
crafted questions that yield useful information. Interviews and
focus groups should be run by an experienced
facilitator. These methods yield rich, qualitative information
that includes insights about the intervention, critiques,
or success stories. Not all participants react well to these data
collection methods, however, and may not trust the
interviewers or the process; some may not feel comfortable
enough to be honest. Participants may also say what
they think the facilitator wants to hear.

AnalyzeDataandProvideFeedback
Once data have been collected from an appropriate source and
via an appropriate method, they need to be analyzed.
Refer to Chapter 5 for a full discussion of how to analyze data.
In the Leadership Academy vignette, performance
reviews and employee satisfaction data from survey research
were analyzed. The team also monitored participants’
leadership projects and promotional advances.
Next, the data analysis should be presented as feedback to key
decision makers such as affected employees and
management. How to share feedback with a client is covered
extensively in Chapter 4, but the same rules apply
when sharing evaluation feedback. It is a consultant’s job to
determine the feedback meeting’s key purpose and
desired outcomes. Does the client need help determining
whether to continue the intervention? Modify it? Measure
learning or performance? Address unintended consequences of
the intervention? Sharing feedback with the client
involves determining the focus of the feedback meeting,
developing the agenda for feedback, recognizing different
types of feedback, presenting feedback effectively, managing
the consulting presence during the meeting, addressing
con�identiality concerns, and anticipating defensiveness and

resistance.
At any point in the evaluation process, data collection and
analysis can prompt the team to decide to change future
action. For example, the team might decide to adjust the
ongoing process, continue the process with new
interventions, or close the project if the problem is permanently
solved. This is the third step of the evaluation
process, de�ined earlier in the chapter as termination or
recycling. It is discussed in detail in the next section.
AnticipateandManageResistancetotheEvaluation
Sometimes evaluation is resisted by the client, organization, or
other stakeholders. Resistance and strategies for
curbing it were discussed at length in Chapter 5. Resistors may
not want to spend more money to learn the results of
the intervention. Or the organization may be unwilling to spend
the time required to conduct an evaluation and
instead want to move on to the next issue. There may be fear
about what the evaluation will reveal (perhaps
management failed to implement the changes, or perhaps
employee views remain negative). Organization members
can also suffer from change fatigue and worry that the
evaluation will bring even more change. Of course, such

resistance patterns are likely what created problems in the �irst
place, so observing them warrants timely
intervention with the client.
Moreover, a consultant should anticipate political issues the
evaluation might create. Results of the evaluation can
also in�luence future resource allocations, which could cause
trepidation and con�lict among organization members.
Remaining vigilant as a consultant and working to be authentic
and in�luential is key to navigating the politics of
evaluation.
Assessment:TestingYourChangeManagementSkills
This assessment provides a good review of change and some
insight into resistance. The web page offers
several resources for learning more.
http://www.mindtools.com/pages/article/newPPM_56.htm
(http://www.mindtools.com/pages/article/newPPM_56.htm)
http://www.mindtools.com/pages/article/newPPM_56.htm
Some clients may resist doing the evaluation because they are

more interested in moving on to the next challenge or
opportunity. Or they may not want to subject themselves to
potentially negative feedback. In this case the consultant
should lay out the bene�its of measuring results and learning
from both positive and negative feedback. Doing so
shows good stewardship of the time and resources committed to
the intervention and provides data to support
future initiatives. One way to minimize resistance to evaluation
is to make sure it has been addressed during
contracting, as outlined in Chapter 3.
Even when there is cooperation and investment, evaluation is
not easy. Demonstrating impact and results can be
challenging for certain interventions such as improving
leadership. Linking results to intervention events can also
be tricky. Devising appropriate evaluation criteria can also be
problematic, especially if intervention outcomes were
vague from the initial planning. Finally, the client may balk at
making judgments about the intervention.
TakeAway6.4:PlanningandPerformingtheEvaluation
Planning and performing the evaluation involves several steps,
the �irst of which is determining the
evaluation’s purpose. Articulating a clear purpose gives the

evaluation focus and helps identify
appropriate participants, measures, and methods.
Identifying appropriate evaluation measures is driven by the
evaluation’s purpose. If a consultant
aims to measure employee satisfaction after a change in
leadership, he or she would likely survey
employees to assess their satisfaction with the change.
Once the evaluation purpose and measures have been chosen,
the data collection methods should
be determined and carried out. Typical methods include surveys,
interviews, focus groups,
observations, and documents.
Once the data are collected, they can be analyzed and fed back
to the client and other interested
stakeholders. This information is important for making
decisions about the continuance of the
intervention and future funding.
It is advisable to anticipate client resistance both to conducting
the evaluation and hearing the
results. Consultants can write evaluation protocols into their
initial contract. When you notice
resistance to evaluation, act quickly to defuse the resistance,
address the concerns, and help the
client use the information most effectively.

Corbis/SuperStock
Theactionresearchcycleis
terminatedwhentheimplementation
hasbeenasuccess.Endingthe
consultingrelationshipsmoothlyand
ensuringcustomersatisfactionhelps
driverepeatbusiness.
6.5ConcludingtheActionResearchProcess
All consulting jobs end. Indeed, your goal as a successful
consultant is to become redundant and work yourself out
of a job. In our Leadership Academy vignette, Leah terminated
her role with the project after 2 years, the �irst of
which focused on planning and the second on implementation.
During year 2, she worked with internal consultants
who would take over her role leading and facilitating the
Leadership Academy in its third year. In this way she
fostered a repetition—called a recycling—of the intervention.
DisengagementorTermination
When the client has successfully implemented a change, the OD

consultant is no longer needed. At this juncture the client has
become
self-reliant and can effectively disengage or terminate the
consulting
relationship. Working oneself out of a consulting job may at
�irst seem
like a bad idea. On the contrary, smoothly disengaging from a
client is
how to help clients build capacity and also the way to get repeat
business
as a consultant. Effectively navigating this stage depends on
setting the
expectation during contracting, recognizing the appropriate
timing,
processing any interpersonal issues between the consultant and
the
client, ensuring that the learning is ongoing, verifying that the
client is
satis�ied, and planning for postconsulting contact.
ContractingAboutTermination
A consultant should start setting expectations about
disengagement right
from the beginning of the consultancy, during contracting, as

discussed in
Chapter 3. There are several things that help disengagement go
smoothly.
First, the consultant should work with the client to train others
in the
organization to take over the role played by the consultant, as
Leah did in
the Leadership Academy vignette. A consultant’s disengagement
may be
abrupt or more gradual, depending on client needs and
resources. If the
relationship is expected to be terminated gradually, make sure
the client
builds the ongoing consulting into the budget.
EnsuringLearningCapacity
The action research process focuses on promoting learning and
change
that helps the client diagnose issues, act on them, and evaluate
the
results. As emphasized in Chapter 5, change and learning go
hand in hand. The action research process helps the
client build capacity to solve future problems. When the client
has capacity to follow the action research process and

continue learning, the client is ready to tackle future challenges
without your help.
RecognizingAppropriateTiming
It is the consultant’s job to monitor both the client and the
change implementation to assess when the organization
has the capacity to continue without help. Clients may resist
termination because they have become overreliant on
the consultant. You can avoid this dependency by striking a
collaborative relationship from the beginning. When it is
time to terminate, it makes sense to make a grand gesture to
signal the relationship has ended. You might want to
plan an event with the client, such as presenting a �inal report,
celebrating the key stakeholders, or publishing some
type of document that tells the organization’s story. The
Leadership Academy consultancy culminated in the
graduating cohort and the new cohort coming together to
celebrate and Leah turning over the management reins to
the internal consultants.
VerifyingClientSatisfaction

We have discussed the importance of being authentic with your
client and completing the business of each phase of
the action research project, as Block (2011) recommended in his
classic consulting text. Those key roles remain
relevant right up until the end. That is, a consultant should
continue to ask the client questions such as: “Are you
getting what you need from me?” “Is this outcome what you
expected?” “What are you concerned about in the
future?” “Can you maintain this change on your own?”
When you have veri�ied that the client is happy with the OD
effort, you can move toward termination. If the client is
unhappy, however, work remains.
PlanningforPostconsultContact
Although the consulting relationship will end at some point, it
is advisable to have a plan for consulting after the
intervention has been deemed a success. Clients may run into
trouble in the future or need their questions
answered. It is thus wise to develop a follow-up and
maintenance plan with the client that involves periodic
checking to make sure the change is on track. Agree on a
minimal support maintenance plan such as periodic

meetings or reports. Leah, for example, continued to
periodically touch base with the Leadership Academy to ensure
things were functioning smoothly after her departure.
Although it would be considered a failure if a consultant had to
return to solve the problem he or she was initially
contracted for, it is likely that the client will face new
challenges and seek out help. Ensuring that there is an open
communication channel and guidelines for future engagement
can put both parties at ease.
Recycling
There are times in the consultancy when termination or
disengagement is not a good option for the client. This is
true of interventions that are designed to repeat over time. In
the Leadership Academy vignette, for example, the
project was designed to repeat annually. Although Leah
terminated her involvement with the project, she trained
internal consultants to carry on her role, effectively repeating or
recycling the action research process.
Recycling can also be an option when the client seeks additional
changes beyond the change that has already been
effectively implemented. For example, consider a company that

started providing executive coaching for its
emerging leaders. The program was so successful that the
company decided to offer training that brought some of
the coaching principles to a wider audience.
Recycling can also occur when the intervention was only
moderately successful or even failed. An evaluation can
usually expose an intervention’s shortcomings and help the
organization identify adjustments or new interventions.
One example would be an organization that did not follow the
action research process and implemented a random
intervention that was not clearly linked to the problem, such as
requiring employees to attend training unrelated to
the organization’s needs. Or the organization might have
implemented something similar to the Leadership
Academy but failed to prepare upper management to deal with
highly enthusiastic emerging leaders clamoring to
make changes that challenge the status quo. In this case a
recycled intervention would target upper management
members and help them become more equipped to mentor up-
and-coming employees.
Regardless of whether the OD intervention and action research
process has been terminated or recycled, when your
client has been successful at changing and has learned new ways

of thinking and behaving, you have completed
successful OD. Ultimately, OD seeks to build capacity in
individuals and organizations so they can problem solve
without your help. That is the mark of an effective action
research process.
TakeAway6.5:ConcludingtheActionResearchProcess
The action research process concludes by being terminated or
recycled. The process is terminated
when the change is successfully implemented. There is no
longer a need for a consultant. The client
has built capacity to use the action research process on future
problems.
The action research process is recycled when termination is not
a good option for the client. For
example, there may be a desire to expand or improve the
implementation. There may also be a
need to continue working with the consultant if the intervention
repeats over time. In some cases,
however, the intervention has failed and it is time to consider a
new approach.

SummaryandResources
ChapterSummary
Evaluation is a process of assessing, adjusting, and terminating
or recycling the intervention based on data
and subsequence decisions.
The purpose of evaluation is to make data-based decisions about
an intervention’s quality, appropriateness,
and effectiveness.
Evaluation can be formative or summative. Formative
evaluation is concerned with improving and
enhancing an OD process as it is underway, rather than judging
its merit. Summative evaluation occurs after
the implementation is complete and ascertains whether the
change accomplished the desired outcomes and
impact. Both provide valuable ways to assess the intervention
before, during, and after it has occurred.
Cervero’s categories of evaluation show the different
approaches to evaluation. It is important to be clear on
an evaluation’s purpose at the planning stage. Typical
evaluation categories include intervention design and
implementation; employee participation and satisfaction;

acquisition of new knowledge, skills, and
attitudes; application of learning after the intervention; impact
of the intervention; and intervention
characteristics associated with outcomes.
Multiple frameworks for conducting evaluation exist. The best
known is Kirkpatrick’s 4-level evaluation
framework. This model measures reaction, learning, behavior,
and results.
Other models of evaluation include Hamblin’s 5-level model;
Preskill and Torres’s evaluative inquiry;
Brinkerhoff ’s 6-stage model; and the input, process, output,
and outcomes model.
Planning and performing the evaluation involves several steps,
the �irst of which is determining the
evaluation’s purpose. Articulating a clear purpose gives the
evaluation focus and helps identify appropriate
participants, measures, and methods.
Identifying appropriate evaluation measures is driven by the
evaluation’s purpose. If a consultant aims to
measure employee satisfaction after a change in leadership, he
or she would likely survey employees to
assess their satisfaction with the change.
Once the evaluation purpose and measures have been chosen,
the data collection methods should be
determined and carried out. Typical methods include surveys,

interviews, focus groups, observations, and
documents.
Once the data are collected, they can be analyzed and fed back
to the client and other interested
stakeholders. This information is important for making
decisions about the continuance of the intervention
and future funding.
It is advisable to anticipate client resistance both to conducting
the evaluation and hearing the results.
Consultants can write evaluation protocols into their initial
contract. When you notice resistance to
evaluation, act quickly to defuse the resistance, address the
concerns, and help the client use information
most effectively.
The action research process concludes by being terminated or
recycled. The process is terminated when the
change is successfully implemented. There is no longer a need
for a consultant. The client has built capacity
to use the action research process on future problems.
The action research process is recycled when termination is not
a good option for the client. For example,
there may be a desire to expand or improve the implementation.
There may also be a need to continue
working with the consultant if the intervention repeats over
time. In some cases, however, the intervention

has failed, and it is time to consider a new approach.
1. The chapter began with a vignette about a Leadership
Academy for a state public health agency, which
featured both formative and summative evaluation. Have you
been in a situation where an evaluation
occurred? If so, can you recall the different types of evaluation?
If you have not experienced a formal
evaluation, how might you go about evaluating a change you
experienced?
2. Think about a change you have implemented. It could be
personal, like changing a habit or starting
something new, or professional, like taking on a new
responsibility or position or meeting a challenge.
Conduct a formative evaluation (focusing on what you did or
could have improved on) and a summative
evaluation (in which you judge the effectiveness and impact) on
the change.

3. Which evaluation framework presented in this chapter was
the most appealing to you? Why?
4. Re�lect on how you might go about evaluating a recent
change in your organization using one of the data
collection methods outlined in the chapter.
5. Recall a time you have resisted change, especially
organization change. How could a consultant or the
organization have helped you become more accepting?
1. Imagine an organization hires you as an external consultant.
It needs you to implement a new recruitment
and retention process aimed at hiring a more diverse workforce.
How would you go about evaluating
whether the change was successful?
a. What is the evaluation’s purpose?
b. What steps will you follow to conduct the evaluation?
c. What level(s) do you hope to evaluate, as per the Kirkpatrick
framework?
d. What data collection method will you use?
2. Identify a process, practice, or performance standard you

would like to improve and plot how you would go
about benchmarking it.
3. Evaluation may be an afterthought in many interventions.
How would you ensure evaluation is integrated
into a change effort you are involved with or leading? How
might you curb resistance?
4. Identify an intervention in which you have participated at
work and evaluate it according to Kirkpatrick’s 4-
level framework:
a. reaction
b. learning
c. behavior
d. results
5. Plan an evaluation according to its:
a. purpose
b. measures
c. information sources and methods
d. analysis and feedback
e. future action
f. political issues
6. If you have ever participated in an OD intervention led by a

consultant, identify what types of evaluation
were conducted. How well did the consultant do, based on the
principles presented in this chapter?
7. Have you experienced a failed OD intervention that had to be
recycled? If so, use the information presented
in this chapter to diagnose what went wrong.
AdditionalResources
Media
MichaelQuinnPattonRe�lectsonEvaluation
https://www.youtube.com/watch?v=7zWHK4Qtvak(https://www
.youtube.com/watch?v=7zWHK4Qtvak)
KirkpatrickModel:ShouldIAlwaysConductaLevel1Evaluation?
https://www.youtube.com/watch?v=7zWHK4Qtvak
https://www.youtube.com/watch?v=dVnBE2W7qAI&list=PL3D
286DBB9370267D
(https://www.youtube.com/watch?v=dVnBE2W7qAI&list=PL3D
286DBB9370267D)

KirkpatrickModel:MonitoringLevel3toMaximizeResults
https://www.youtube.com/watch?v=r-
qF4kJrTiI&list=PL3D286DBB9370267D
(https://www.youtube.com/watch?v=r-
qF4kJrTiI&list=PL3D286DBB9370267D)
WebLinks
The American Evaluation Association (AEA), an international
professional association of evaluators devoted to the
application and exploration of program evaluation, personnel
evaluation, technology, and many other forms of
evaluation.
http://www.eval.org(http://www.eval.org)
Online Evaluation Resource Library, a useful site that collects
and makes available evaluation plans, instruments,
and reports that can be used as examples by principal
investigators, project evaluators, and others.
http://oerl.sri.com(http://oerl.sri.com)

Centers for Disease Control and Prevention Program Evaluation
Resources, which offers a plethora of useful content.
http://www.cdc.gov/EVAL/resources/index.htm(http://www.cdc.
gov/EVAL/resources/index.htm)
KeyTerms
adjustingprocesses
The process of changing the OD intervention once assessment
data have been collected and analyzed.
archivaldata
Using existing records such as employment records, production
�igures, or quarterly reports as a data source
when collecting evaluation data.
assessingchanges
The process of gathering and analyzing data related to the
learning and change associated with an OD
intervention.
behavior
Kirkpatrick’s level 3 evaluation, which measures how
participants perform differently as a result of the

intervention.
benchmarking
When an organization compares its business practices,
processes, and performance standards to other
organizations that are best in class.
checking
A data-based evaluation to assess whether an intervention had
the intended result.
evaluation
A data-based checking to assess whether an intervention had the
intended result.
formativeevaluation
Assessments of an intervention before or during its
implementation geared toward improving the process.
https://www.youtube.com/watch?v=dVnBE2W7qAI&list=PL3D
286DBB9370267D
https://www.youtube.com/watch?v=r-
qF4kJrTiI&list=PL3D286DBB9370267D
http://www.eval.org/
http://oerl.sri.com/

http://www.cdc.gov/EVAL/resources/index.htm
learning
Kirkpatrick’s level 2 evaluation, which measures what skills
and knowledge participants gained from the
intervention.
observation
Watching day-to-day operations to collect evaluation data.
reaction
Kirkpatrick’s level 1 evaluation, which measures how well
participants liked the intervention.
recycling
The process of repeating or revising the action research process
when further interventions are desired or the
initial intervention has failed.
results
Kirkpatrick’s level 4 evaluation, which measures how the
bottom line was impacted by the intervention.
summativeevaluation

Assessment that is done once the intervention is completed to
judge whether it attained its goals and addressed
the problem and to make future decisions about funding and
continuance.
surveysandquestionnaires
Evaluation data collection method that uses instruments that
participants complete to provide feedback on the
intervention.
terminate
To disengage from a consulting relationship with an
organization at the end of the action research process.
7 Individual Interventions
SteveDebenport/E+/GettyImages
LearningObjectives
Describe learning and development interventions, including

re�lective practice; T-groups; training,
education, and development; and action learning.
Identify when management and leadership development is
indicated and discuss values
clari�ication and coaching interventions.
Distinguish three types of assessments and explain why it is
essential that they be administered by
certi�ied professionals, effectively debriefed, and used
ethically.
Discuss various ways individual careers can be supported
through performance management,
career plan development, assessments, and developmental
relationships.
Explain how jobs can be better developed with the use of job
design, job descriptions, and policy
development.
Wavebreak Media/Thinkstock
Lindseyattendsatrainingsessionfor

hernewposition.
Lindseywaslaidofffromherjobina�inancialinstitutionduringanec
onomicdownturn.Althoughitwasdif�icultfor
hertobewithoutanincome,shehadnotlikedherwork;shewasoftenunf
ul�illedandunchallenged.Thelayoffgaveher
anopportunitytothinkhardaboutwhatshewantedtodonext.Shehadn
odependents,littledebt,andenoughsavings
tocoverthetransition,soshehadsome�lexibilityinhernextsteps.
Tobeginexploringheroptions,Lindseymadeanappointmentwithaco
nsultant,Jennifer,whospecializedincareer
counseling.Priortotheir�irstmeeting,theconsultantgavehera
couple of assessments to identify her personality
preferencesand key interests. During their �irst meeting,
Jennifer shared the results of the assessments and asked
Lindseyseveralchallengingquestionssuchas:“Wheredoyouwantto
bein�iveyears?”Whatexcitesyou?”“Whatis
yourbiggestchallenge?”Theyalsoworkedonavaluesclari�icatione
xercisetoidentifyLindsey’skeyvalues.Aftereach
counselingsession,Lindseywasgivenhomeworkthatpromptedherto
explorewhatopportunitiesmightinteresther.
Aftermuchsoulsearching,Lindsey decided to return to school for
an accelerated master’s degree in instructional

design;thiswouldmergeherinterestsintechnologyandeducation.Up
ongraduation,shewashiredbyaconsumer
productscompanytodeveloplearninganddevelopmentprograms.
When Lindsey started her new position, she under-went an
intensive
trainingprogramthatincludedanorientationandanintroductiontoth
e
organiza-tion’s training and technology platforms. Her direct
supervisor
worked with her to develop a career plan within the company.
Lindsey
joinedanationalprofessionalorganizationthathadaregionalchapter
in
her metropolitan area. She began attending meetings and
developed
relationshipswithseveralofherpeersandseniorsinher�ield.Shestru
ck
upaconversationwiththekeynotespeaker,Jo,atoneoftheevents who
wasavicepresidentoflearninganddevelopmentatatechnologycomp
any.
They continued corresponding after the meeting and developed
an
informalmentoringrelationship.

Lindsey’smentor,Jo,wasagoodsoundingboardnotonlyforsomeofth
e
technicalproblemssheencountered,butalsoforpoliticalissues.Jorec
om-
mendedbooks,conferences,andother people from whom to seek
advice
about issues and opportunities. Jo also helped Lindsey make
decisions
about which opportunities and positions to pursue within her
company.
Lindsey received high marks during her performance
evaluations and
continuedtoevolvehercareerplan.Eventually,JorecommendedLind
seyto
anothercompanywhorecruitedandhiredherintoamanagerialpositio
n.
This book has focused on accomplishing OD using the action
research
model (see Table 5.1). It has moved through the three action
research
phases of planning, doing, and evaluating. This chapter is
devoted to
pro�iling several interventions that might be appropriate at the
individual level of analysis. For the purposes of this chapter, it

is assumed you have followed the action research
process up to the point of intervention and carefully selected an
intervention in collaboration with the client.
planning that occurs in phase 1 of the action research
model. They are implemented in phase 2, doing or action, and
assessed in phase 3, checking or evaluating. Chapter 5
de�ined OD interventions as the actions taken on the problem
or issue that is the focus of the OD process.
Intervention is the culmination of the OD process—it is what
OD intends to do from the start.
The interventions covered in this chapter are not
comprehensive, but rather representative of the many options
available. We could include dozens, as the range and potential
of OD interventions is nearly endless. Rather than get
lost in a sea of interventions, we will present the most common
individual interventions with descriptions of their
de�inition, why consultants use them, and how to implement
them.
The three intervention chapters in this book have organized

interventions according to the levels of individual,
group or team, and organization. Although these interventions
have been categorized by level for ease of
understanding their scope, some interventions, such as
leadership development interventions, may fall under more
than one category. A leadership development program similar to
the one described in the Leadership Academy
vignette crosses all three of these levels, since potential leaders
receive individual development that impacts their
interactions with groups and the whole organization.
Another example of interventions that cross all levels would be
the implementation of a performance management
system. Individual development and change is usually affected
when performance is appraised, and this in turn
affects other people, groups, and the organization itself. See
Table 7.1 for examples of interventions according to
level of analysis.
Table7.1:LevelsofODinterventions
Individual-levelinterventions Group-levelinterventions
Organization-level
interventions

Learning and development
Leadership or management
development
Career development
Assessment
Job development
Group or team process and
development
Diversity and inclusion
Con�lict management
Problem solving and
decision making
Vision and mission
development
Strategic planning
Organization design
Culture
Talent management
Large-scale interactive
events (LSIEs)
The purpose of this chapter is to pro�ile selected interventions
according to the individual level. Individual

interventions usually accomplish one or more of the following:
learning and development, leadership and
management development, assessment, career development, and
job development (see Table 7.2). Each will be
discussed in this section.
Table7.2:CategoriesofindividualODintervention
Category Intervention
Learning and development Re�lective practice
Laboratory training (T-group)
Training, education, and development
Action learning
Leadership or management development Values clari�ication
and integration
Coaching
Assessment Values clari�ication and integration
Coaching
Career development Performance management
Career plan development
Assessments

Developmental relationships
Category Intervention
Job development Job design
Job descriptions
Responsibility charting
Policies
ThomasBarwick/Iconica/GettyImages
7.1LearningandDevelopment
Learning and development interventions ensure organization
members have the knowledge, skills, and abilities
needed to do their jobs effectively and help the organization
perform optimally. These activities ensure not only that
employees are fully trained but that they also remain engaged in
ongoing learning, which helps create and sustain
the organization’s culture, enables the organization to remain
competitive, and promotes employee retention. As we

have already discussed, learning and change are intricately
related, and this group of interventions helps employees
implement change. Learning and development interventions also
help new knowledge be shared throughout the
organization. Key interventions in this area include re�lective
practice; laboratory training, or T-groups; training,
education, and development activities; and action learning.
Re�lectivePractice
When was the last time you stopped and gave thoughtful
consideration to a decision, experience, or idea? Or had a
deep, engaging, and thoughtful conversation with another
person? When you engage in these pauses to contemplate,
you are engaging in re�lective practice.
WhatIsRe�lectivePractice?
Whenever you think critically about your experiences and
actions, you are engaged in re�lective practice. Donald
Schön introduced re�lective practice in his books The
Re�lective Practitioner (1983) and Educating the Re�lective
Practitioner(1987). Schön distinguishes two types of re�lective
practice according to when they occur. Lindsey, who
lost her job in the vignette, engaged in re�lective practice with

her career counselor, who asked her to think about
what she wanted in the next chapter of her life.
Suppose Sarah facilitates a meeting. During the meeting she
might think: “I need to be more pragmatic about
keeping everyone focused and on point,” or “I didn’t manage
the disagreement between team members
about the best solution to the problem,” or “Maybe if I restate
the issue, we can solve this problem.” These
musings about an experience while it is happening are
re�lectioninaction. That is, Sarah asses an
experience, her thoughts about the experience, actions she has
taken, or actions she might take, inthe
moment. Perhaps as a result, she adjusts her actions in the
moment.
Once the meeting is �inished and Sarah thinks about what
happened and imagines how she could have
handled things better or what she will do next time, she is
engaging in what Schön (1983) calls re�lection
onaction. Sarah is using what she learned from the experience to
shape future thoughts and actions.
WhyDoODConsultantsEncourageRe�lectivePractice?
When OD consultants ask an organization member to change,

they are
putting that person into a learning situation. A learner’s ability
to
critically re�lect on and in action signals their adeptness at
learning.
Re�lective practice is one of the hallmarks of adult learning
(Brook�ield,
1987; Merriam & Bierema, 2014) and helps individuals adopt
change
more effectively and permanently.
In the opening vignette, Lindsey eng-aged in re�lective practice
activities
under the guidance of her career coun-selor. This helped her
assess her
situation, interests, and opportunities. Unfortunately, time to
re�lect is
largely lacking in the contemporary workplace, since
organizations tend
to be focused on action at its expense. Your clients may have a
dif�icult
Re�lectionhelpsuslearnfromour

experiences.Howwouldyou
encouragere�lectivepracticeasan
ODconsultant?
time slowing down to re�lect; they may feel it is a waste of
time. On the
contrary, re�lection can help clients accept change and be more
mindful
as they implement it. The more consultants can help their
clients think
critically, avoid error, and learn from experience, the more
effective the
intervention.
HowIsRe�lectivePracticeDone?
Brook�ield (1987) pointed out how critical re�lection is used
in strategic planning, effective decision making,
creative problem solving, situational leadership, entrepreneurial
risk taking, research and development activities,
and organizational team building. OD consultants that foster
re�lective practice in their clients on these and other
organizational processes will more effectively help them
understand the assumptions that underlie their own
thoughts and actions.

A key way to get clients to re�lect is to help them recognize
contradictions between thought and action. For example,
a manager may claim to treat all employees fairly but show
favoritism toward certain people. This behavior is what
Argyris and Schön (1974) call
espousedtheoryversustheoryinuse. The familiar adage “Do as I
say, not as I do”
aptly captures these kinds of inconsistencies, which are usually
rampant in organizations. Helping clients recognize
these discrepancies is the �irst step toward helping them make
their behavior more consistent with their espoused
values.
OD consultants might ask an individual to re�lect on the
impending change, a career move, or feedback; they might
also build in structured re�lection time when planning for other
interventions such as training. Consultants can also
send clients on an individual retreat with re�lection
assignments. Re�lection is also a key component of coaching
and
T-groups.
WhoInventedThat?TheLeft-HandColumnExercise

Organization theorists Chris Argyris and Donald Schön (1974)
developed the left-hand column (LHC)
exercise as part of their work in action science (a process of
action research that generates useful
information about practical problems in organizations, usually
by examining contradictions between what
people say and what they actually do). Steps to creating an LHC
include:
1. Pick an important conversation you have recently had.
2. Use the following worksheet to document the conversation.
3. Write down the actual words you and your conversant used in
the right-hand column.
4. Write down what you were actually thinking and feeling
during the conversation as the words
were being said.
5. Compare both columns.
6. What differences, if any, exist between what you said and
what you thought?
a. If there were discrepancies, how can you begin to
productively raise some of your left-hand
column thoughts?

b. How can you prompt your conversant to be more forthright
about some of their left-hand
column thoughts?
LEFT:WhatIreallythought RIGHT:WhatIreallysaid
LaboratoryTrainingandT-Groups
Laboratory training, or T-groups, provides opportunities for
individuals to re�lect on their own behavior and how it
affects the group.
WhatAreLaboratoryTrainingandT-Groups?
I was hoping he wouldn’t notice we
were late.
YOUR BOSS: Let’s meet this week. We are behind with the
budget and we need to get these items �inalized. Jim, I’d like
to
come down there next week. We’re a few weeks behind, and I

think we might all bene�it from a meeting at your of�ice.
I need to make it clear that I’m willing
to take responsibility for this, but some
of this is out of my control.
ME: Yes, the deadlines are of concern. As you know, some of
the estimates we need to complete the budget have not come
in on a timely basis, although we are working as hard as we
can to get them. When do you want to meet?
He always seems to offer help after the
crisis has already occurred, not when I
really need it. Now it is too late to do
anything but wait.
YOUR BOSS: It seems to me that we could have better
communication and coordination between the two of us as we
establish the budget. I might be able to help.
The changes he keeps making to the
renovation plans are the real reason
we’re late. Getting estimates takes
time.

ME: I’m always open to better ways to build the mousetrap.
YOUR BOSS: I hope you have some better ideas about what we
can do here.
I wish I could just level with him that
he’s the reason we are delayed. If we
can just get him to hold off a bit longer,
we should be able to get the estimates.
ME: If we can push off our meeting until next week, I think we
can have the budget by then and also brainstorm improved
processes.
YourTurn...
Click here
llation/book/AUBUS370.14.1/{pdfs}sec_7.1.pdf)
to download an interactive version of this assessment.

We introduced T-groups in Chapter 1. Also known as laboratory
training or training groups, T-groups are small
groups of organization members that provide in-depth feedback
to one another about perceptions and how
individual behaviors affect the group. Recall that T-groups
stimulated the creation of OD and grew in popularity
through the 1960s and 1970s. They are less popular today
because of the risk of being unable to maintain amicable
work relationships after signi�icant self-disclosure and sharing.
Also, their results can be dif�icult to transfer back to
the work context. Frank disclosure may also put employees at
risk with their organizations if management were to
retaliate. Refer back to Chapter 1 for a full description of T-
groups.
WhyDoODConsultantsDoLaboratoryTrainingandT-Groups?
T-groups are bene�icial interventions because they provide

fodder for re�lective practice, as discussed in the
previous section. Speci�ically, they help group members
re�lect on their interpersonal interactions and thereby
deepen their self-awareness. Often, individuals fail to consider
where their assumptions come from or how their
behaviors and comments affect others. T-groups provide a
platform for re�lection and disclosure that leads to deeper
levels of consciousness.
HowAreLaboratoryTrainingandT-GroupsDone?
A T-group is rather �luid, usually lacking an explicit agenda
beyond enhanced awareness and understanding. The
goals of a T-group include increasing members’ self-awareness
and improving their understanding of how their
individual interactions affect the group. T-groups usually yield
useful insights about oneself, others, and the group.
T-groups may use the conversation to solve problems, share
feedback, or role-play.
T-groups require 8 to 15 participants. The consultant’s role is to
guide the group and encourage participants to
share emotional reactions (e.g., anger, fear, warmth, or envy) to
the other participants’ actions and statements. The
group should focus on sharing emotions rather than making

judgments or drawing conclusions. The T-group helps
participants see how their words and actions trigger emotional
responses in the other individuals and ideally makes
participants more mindful of how they behave in group settings.
T-groups can be uncomfortable for members because
signi�icant self-disclosure and openness are required.
Moreover, participants’ feelings may be hurt because of the
feedback’s highly personal nature. Experienced
facilitators help mitigate these risky dynamics.
Training,Education,andDevelopment
A key individual intervention is to ensure that employees have
the necessary knowledge, skills, and attitudes to
effectively do their jobs. Training, education, and development
make that possible.
WhatAreTraining,Education,andDevelopment?
Training, education, and development are appropriate
interventions when new skills, knowledge, or attitudes are
needed in areas such as new technology implementation,
diversity and inclusion initiatives, machine operation,
product safety, and new employee orientation. In the opening

vignette, Lindsey pursued all three of these. In this
text these three interventions will be referred to as training.
You will recall that Lindsey elected to pursue higher
education training and then received further training when she
joined her new company.
Davis and Davis (1998) offer a comprehensive de�inition of
training. Among their key points are:
Training is always a process, rather than a program to be
completed.
Training develops skills, shares information, and nurtures
attitudes.
Training helps the organization.
Training usually contributes to workers’ overall development.
Training helps workers qualify for a job, do the job, or advance
to a new job.
Training is essential for enhancing and transforming a job.
Training facilitates learning.
Learning is not only a formal activity, it is also a universal
activity, and many types of people facilitate it
formally and informally.

Training should always hold forth the promise of maximizing
learning.
WhyDoODConsultantsDoTraining,Education,andDevelopment?
It is easy to associate OD interventions exclusively with
training programs, but not all OD problems require a
training solution. When training programs are required, it is
important that they be well designed and facilitated in
ways that meet the intended goals. Training is most effective
when it is explicitly linked to organizational strategy
and when it targets a problem that can be resolved by training.
Thus, training may be used to improve current
employee job performance, such as by teaching employees new
skills, software, or processes that help them do their
jobs with more speed and accuracy. Or it may be a means of
orienting new employees to the policies and
expectations of the company. In the opening vignette, Lindsey
went through extensive orientation training. Training
may also be used to prepare employees for advancement. For
instance, leadership training may be offered to
develop management potential, or tuition reimbursement
programs may be provided to help employees build
technical and administrative skills.

TipsandWisdom
As well as promoting both professional and personal growth,
training helps the organization enhance its
performance. To learn more about training, see Caffarella and
Daffron’s (2013) PlanningProgramsfor
AdultLearners:APracticalGuide, Lawson’s (2006)
TheTrainer’sHandbook, or Silberman’s (1998) Active
Training:AHandbookofTechniques,Designs,CaseExamples,andTi
ps.
HowIsTraining,Education,andDevelopmentDone?
Training, education, and development are achieved through
formal knowledge-building efforts (McLean, 2006;
Nadler, 1970):
OD consultants provide or arrange for training via on-site
demonstrations, classes, courses, and programs
that help employees accrue job-related knowledge. For example,
you may have attended computer class or
con�lict resolution training. New technical and interpersonal
skills help you do your job more effectively.
Consultants get asked to provide training most often as it is
often selected as an intervention.

When you learn how to become an analytic problem solver and
use reasoning, you are receiving education.
Education is not necessarily job related. Learning how to
critique classic texts, for example, may not be
speci�ic to your job in health care or manufacturing, but it may
be helpful in carrying out your job because it
sharpens your reasoning and writing skills. Consultants do less
work in this area, although they may refer
clients to higher education programs or offer programs in their
own area of expertise. For example, if a
consultant were an expert writer, she might help the client’s
employees develop in this area.
When you cultivate your interests, perhaps by taking martial
arts or a cooking course, you are engaged in
development. Development is sometimes considered more
personal and less job related, but like education,
it enhances your ability to do your job and makes you more well
rounded. Consultants might recommend
development programs as part of an intervention, especially
ones that are focused on organization learning
and employee satisfaction.

ActionLearning
Action learning arose in the 1990s as a reaction to formal
learning interventions (such as training) that were viewed
as ineffective because of the dif�iculty of transferring
knowledge back to the workplace.
WhatIsActionLearning?
Action learning deliberately accelerates people’s education
about real work problems and/or desired outcomes
within the actual work context. It is a continuous cycle of
learningbydoing, followed by re�lecting on the doing.
Action learning involves getting relevant people together to
work on organizational issues in a fashion that leads to
learning throughout the process. For example, suppose a new
product is launched and a group of relevant
stakeholders comes together to ask questions raised by the
launch, re�lect on problems and solutions that arise in
the launch, share assumptions about the project, make necessary
changes, re�lect on how the changes worked, and
consider the learning that transpired in the launch process.
Action learning creates a structure for re�lective practice
among individuals or groups.

WhyDoODConsultantsFacilitateActionLearning?
Consultants favor action learning because, rather than taking
people to an unnatural location to teach them
unnatural acts about abstract concepts (as training often does),
it involves the real people working with the real
problem in its real setting. In other words, action learning
involves getting people who have a particular problem
together in the workplace to undergo cycles of learning and
action. This makes the process relevant, timely, and
completed by the people who own the problem.
Lawrence (1991) observes that action learning is not only
learning by doing, but also involves re�lection with the
explicit goal of learning from experience. According to
Lawrence, there are three essential characteristics of action
learning:
1. Real work: Suppose a certain scheduling process creates
problems for multiple workers—there is too much
overlap at times and not enough coverage at others.
2. Questioning process: The team gets together and begins to
question how the schedule is being made; they
suggest changes.

3. Implementation: New scheduling procedures are put in place,
and the group reconvenes to evaluate how the
changes are working and what was learned.
Lawrence (1991) recognizes that action learning has the
following outcomes: visible progress on solving problems,
individual development, and change. Unlike some process-
improvement tools, action learning is open ended,
dynamic, and �luid. Although the purpose of engaging in action
learning may be clear, the results are often
unexpected. Action learning helps participants understand their
internal decision and action processes and makes
them aware of how these patterns impact their environment.
HowIsActionLearningDone?
Action learning is accomplished by six to eight people who
come together to work on a problem. This group is
known as an action learningset. There are several variations on
steps taken, but generally the process is as
follows:
1. Establish an action learning set.

2. Identify a project, task, or problem the set intends to work
on.
3. Engage in a process of questioning, re�lection, and inquiry
into the problem.
4. Decide on and implement a course of action.
5. Reconvene to evaluate whether the action resulted in a
satisfactory outcome and to identify key learning.
Action learning tends to favor asking questions that prompt new
thinking, learning, and new solutions.
TakeAway7.1:LearningandDevelopment
Re�lective practice helps clients re�lect critically on their
thought and action by considering
re�lection in action, re�lection on action, and espoused theory
versus theory in use.
T-groups are small groups in which individuals receive
feedback on how their behavior affected the
other members of the group. When done effectively, T-groups
facilitate deep critical re�lection and
self-awareness.
Training, education, and development give individual

employees the requisite knowledge, skills,
and abilities to perform their jobs.
Action learning engages employees in cycles of re�lection and
action about real problems they
encounter in their real workplace.
©HeroImages/Corbis
Leadershipandmanagementdevelopment
programshelpindividualstakestepsto
ensureeffectivenessintheirroles.
7.2LeadershipandManagementDevelopment
Learning and development interventions are common across all
levels of the organization. They affect not only
individuals, but also teams and the organization itself. A more
specialized type of development is targeted at current
and potential leaders and managers of the organization and is
therefore known as leadership and management
development.
AnOverviewofLeadershipandManagementDevelopment

Both leaders and managers are needed to effectively run an
organization. Different approaches are taken for
developing each skill type:
Leadershipdevelopment involves developing people to guide the
organization, create long-term vision,
develop strategy, staff the organization, communicate, and
motivate people toward the vision (French & Bell,
1999). Leadership development is applicable across levels
(McLean, 2006). It is fairly common to send
potential leaders off to leadership development programs such
as those offered by the Center for Creative
Leadership
http://www.ccl.org/Leadership(http://www.ccl.org/Leadership).
Managementdevelopment involves the process of equipping
people to execute day-to-day practices of
organizing, staf�ing, planning, budgeting, controlling,
directing, and problem solving. Management
development tends to be position speci�ic. For example, the
general manager of an automotive company
might need to learn very different skills than a city planning
manager.
Management and leadership development programs are key
ways

consultants help individuals and organizations become more
effective in day-to-day activities and problem solving.
Organizations that lack strong managers and leaders will
underperform and have dif�iculty responding to the challenges
that
continually arise both inside and outside the organization.
Management and leadership development can be accomplished
in
multiple ways at levels ranging from the individual to the team
to
the organization. Individual development involves targeting
individuals who show management and/or leadership potential
or
people who are challenged in their current leadership role.
These
individuals might be sent to leadership development programs,
which are usually offered by consulting �irms. Organizations
sometimes provide a group of individuals with a more formal
leadership development program, similar to the example in the
Leadership Academy vignette. The organization may also take
on
management and leadership development on a large scale and
roll out various activities across multiple locations.
Such activities could include mentoring, formal training

programs, and so forth.
Two interventions—values clari�ication and integration, and
executive coaching—are common management and
leadership development interventions. They are discussed in
more detail in the following sections.
ValuesClari�icationandIntegration
Values drive thought and action and in�luence the decisions
people make. Providing individuals the opportunity to
re�lect on what they value and why can help them clarify their
life and career goals and identify areas of potential
http://www.ccl.org/Leadership
con�lict with others who might prioritize different values. In
the vignette, Lindsey worked with her career counselor
to clarify her own values as she planned her next career steps.
WhatIsValuesClari�icationandIntegrationandWhyDoODConsult
antsDoIt?
Exercises that help individuals articulate their key values and

incorporate them into their thoughts and actions are
known as valuesclari�icationandintegration. Such exercises are
helpful at all organizational levels.
Engaging in values clari�ication can help leaders gain clarity
around why they make certain decisions. It can also
help them understand why they experience con�lict with others
whose values differ. Values clari�ication is
particularly helpful for managers and leaders to engage in
before they have to communicate the organization vision
to employees. It can help them clarify what is important about
the vision, which makes it easier for them to motivate
employees.
Values activities can also help build stronger teams by revealing
which values are shared by team members. Values
clari�ication and integration can also help tie individual values
to organization values.
Consultants can also help individuals explore mismatches
between what they value and what the organization
values. For example, if a client highly values autonomy but
works in a highly structured environment that has little
autonomy, the consultant might help the client explore this
contradiction and �ind ways to cope.

HowIsValuesClari�icationandIntegrationDone?
Values clari�ication can be undertaken with individuals,
groups, or organizations. An example is pro�iled in the
assessment box below. The exercise takes 15 minutes to an hour
to complete, depending on the size of the group and
how much discussion the experience yields. The OD consultant
should provide a list of values the participant can
choose from, as well as spaces for additional values to be
added. Time should be built in for the participant to talk
about the values identi�ied and why they are signi�icant.
Assessment:ValuesClari�ication—WhatIsImportant?
After the exercise, ask the client the following questions to
stimulate re�lection and conversation:
What did you learn about yourself ? About others?
Was it hard to express disagreement with another person’s
values? Why or why not?
Were there times when you felt uncomfortable or unsafe? What
helped you stand by your values at that

time?
Were there any times you felt unable to stand up for your
values? Why do you think that was so?
What would support people at times when they feel unable to
stand up for a value they believe in?
ExecutiveCoaching
Coaching is becoming increasingly popular not just in
organizations, but in multiple facets of life. Although business-
related coaching such as executive coaching is relatively well
known, there are also career coaches, life coaches,
spiritual coaches, health and wellness coaches, transition
coaches, grief coaches, renovation coaches, team coaches,
relationship coaches, and so on. This book focuses on the
business realm and examines executive coaching.
WhatIsExecutiveCoaching?
Coaching has been de�ined as “a personal and frequent one-on-
one meeting designed to produce speci�ic, positive
changes in business behavior within a �ixed time frame”
(Corbett & Colemon, 2006, p. 1). Roberts (2000) describes

it as “the act of being directly concerned with the immediate
improvement of performance and development of a
skill by a form of tutoring or instruction” (p. 159).
TipsandWisdom
The International Coach Federation (ICF) started in 1995 as a
nonpro�it organization to support coaches
and grow the profession. The ICF created core coaching
competencies and a code of ethics. The ICF also
de�ined curriculum standards to ensure consistency in coach
training and developed a credentialing
system for coaches. Today the organization is global, with
membership exceeding 20,000. You can �ind
reputable information on coaching programs and much more at:
http://www.coachfederation.org
(http://www.coachfederation.org).
WhyDoODConsultantsRecommendExecutiveCoaching?
OD consultants who work as coaches take on the daunting task
of integrating individual and organization goals. That
is, they help the coachee connect his or her individual work
with that of the broader organization (values
clari�ication can also help make this connection). Consultants

who are not trained as executive coaches would be
responsible for hiring a reputable one.
Corbett & Colemon (2006) identi�ied speci�ic times that
individuals might need a coach. These include when (a) a
promotion is involved, (b) a job is at stake, or (c) a new
perspective is needed. Complete the assessment below to see
if you need a coach.
Assessment:DoYouNeedaCoach?
The following questions can help you (or your client) determine
if coaching is the right intervention at this
time.
Ineedexpertconsultingservicestohelpmesolveacomplicatedbusine
ssproblem.
YES Do not hire a coach. Instead, hire a business consultant.
NO Continue
Ineedtodiscussadeeplypersonalmatteraboutmysenseofwell-being.
YES Do not hire a coach. Instead, locate a licensed

psychologist, psychiatrist, or counselor.
NO Continue
Ineedtodiscusstheinternalpoliticsofmyorganizationandhowitaffec
tsmycareerpath.
http://www.coachfederation.org/
YES Do not hire a coach. Instead, �ind a trusted person who is
familiar with your organization who is
willing to serve as a mentor.
NO Continue
Ineedtolearnandpracticespeci�icnewskillsthatIlack.
YES Do not hire a coach. Instead, �ind an appropriate skill
development course that offers many
opportunities to practice the new skills, perhaps using
videotaped feedback.
NO Continue

Ineedtoacquireaspeci�ictypeofknowledge.
YES Do not hire a coach. Instead, consider your own learning
style and purchase the information in the
form of books, tapes, or classes. Set aside time to study and
internalize the information.
NO Continue
IneedtoevaluatewhetherIamintherightcareerandexploreoptionsfor
changingmycareerorprofession.
YES Do not hire a coach. Instead, hire an expert in career
counseling who can administer aptitude and
interest testing and who will assist you in this transition.
NO Continue
Ineedstructuredplanningandsupporttohelpintheaccomplishmentof
anewwayofleadingormanaging
others.
YES Hire a coach!
Source:AdaptedwithpermissionfromLeadershipCoaching:WhenIt

’sRightandWhenYou’reReady.Copyright©2008CenterforCreativ
e
Leadership..
HowIsExecutiveCoachingDone?
Coaches should be certi�ied by a reputable coaching
institution. In addition to having credentials, the coach should
also follow a process that has a beginning, middle, and end. It is
important to research a coach’s training and process
before you hire him or her. You may also want to check
references. A reputable coach will:
1. Establish entry. A coach should offer a contract of services
that details the cost, number of meetings, and
other expectations.
2. Set expectations and describe the process initially. The �irst
meeting between a coach and coachee should
focus on sharing information about the process, setting
expectations, and agreeing on ground rules for the
encounters.
3. Establish accountability. If an organization has hired a coach
to work with an employee, the coach should

regularly communicate with the person’s boss (or other
stakeholder, like a mentor) about the areas needed
for development and the progress being made. Usually this
contact would occur at the beginning, midpoint,
and endpoint. If an individual has hired a coach independently,
it is up to the coach and coachee to
determine how accountability will be held for progress.
4. Establish a baseline. Coaches need to understand information
about their coachee’s behavior, values,
interests, and performance. Most coaches use assessments,
conduct values clari�ication, and seek feedback
from other organization members in order to get a full picture of
their coachee at the beginning of the
process.
5. Identify areas to improve. Once the baseline is established,
the coach and coachee mutually agree on an area
for improvement. The coach helps the coachee develop
strategies and new behaviors to make the agreed-
upon improvement.

6. Help the coachee solve his or her problems. Effective
coaches rarely give advice. Rather, they use questioning
and re�lection exercises to help their clients solve their own
problems and build con�idence and capacity in
their own skill set.
7. Share blunt and direct feedback. Good coaches do not mince
words and will serve as a mirror to re�lect the
coachee’s behavior and challenge them. Good coaches hold
their coachees accountable.
8. End the coaching when the coachee has met the goal. Once
the coachee has made the agreed-upon
improvements, the coach should move toward ending the
coaching engagement and ensure the coachee has
the capacity to maintain the change. The coach should remain
available for future issues and occasionally
check in with the coachee to see that the changes have been
maintained.
TakeAway7.2:LeadershipandManagementDevelopment
Leadership and management development targets current and
potential leaders to ensure they
have the core skills to help the organization reach levels of high

performance.
Values clari�ication and integration helps leaders and managers
articulate their key values and
integrate them into daily behaviors as they manage and lead
employees.
Coaching is an intense relationship between a coach and
coachee that seeks to create positive
changes in business behavior.
moodboard/Thinkstock
Assessmentshelpindividualsgain
perspectiveonalargerangeofissues,
frombehavioralstyletolearning
styletocon�lictstyleandmore.
7.3Assessments
Instruments that measure myriad aspects of individual attributes
are known as assessments. Assessments are
useful for helping individuals gain new insights about
themselves but can also be helpful when working with groups
and teams. Assessments have great potential to stimulate
individual re�lection and change when used appropriately

and ethically. There are dozens of assessments available for
almost any topic. This section pro�iles some popular
ones and their uses.
An assessment attempts to quantify certain aspects of individual
personality or behavior, from learning styles to
ethical orientation to leadership style. Assessments measure
what energizes you, how you behave in certain
situations, what your colleagues think of you, how you learn,
what side of the brain you favor, and what strengths
you possess. Hundreds of assessments exist, as evidenced by the
numerous results that appear from an online
search for “free personality assessment,” for example.
Consultants juggle multiple variables in their efforts to
implement change. Human beings are complex and require
different approaches. Assessments yield rich data with regard to
how individuals and teams interact. They provide
information on how people will engage interpersonally, where
they get their drive and motivation, what type of style
they employ in multiple situations, how they problem solve and
make decisions, how they manage pressure and
stress, and how they handle and accept change.
When you ask organization members to learn and change, they

need pertinent information. There is nothing more
timely and relevant than an assessment to help bridge
understanding or point out opportunities for learning and
growth. That is why consultants reach for them readily.
We have included assessments in every chapter of this book
precisely because they provide immediate feedback or
insight into preferences, traits, or behaviors in a way that helps
people understand themselves in relation to others.
Assessments can be taken with pencil and paper, scanned by
computers, or completed electronically.
Although assessment tools can help both the client and
consultant
develop insights, they should only be administered by a trained
or
certi�ied professional. In addition, their limitations need to be
fully
disclosed and their results not taken as a de�initive statement
on the
person. Assessments are more helpful when used in conjunction
with
other interventions such as training, feedback, coaching, and
leadership
development.

This section will pro�ile three commonly used assessments in
OD: 360-
degree feedback, DiSC (dominant, in�luential, steady, and
conscientious),
and the Myers-Briggs Type Indicator (MBTI). Like all
assessments, they
have limitations but offer an additional tool that may be useful
as you go
about the work of OD on an individual level. Additional links to
assessments are included at the end of this chapter. In the
opening
vignette, Lindsey’s career counselor helped her take several
assessments.
360-DegreeFeedback
In simple, geometric terms, 360degrees means “full circle.” A
360-degreefeedback assessment, then, is one that
seeks input from everyone in the leader’s circle. That includes
direct supervisors, mentors, peers, subordinates,
customers, suppliers, and any other stakeholders who can
provide relevant input.

WhatIs360-DegreeFeedback?
During a 360-degree feedback process, an OD consultant seeks
feedback about an individual from multiple sources
and levels, such as peers, subordinates, supervisors, self, and
customers (McLean, Sytsma, & Kerwin-Ryberg, 1995).
The technique is also known as multirater feedback. The
feedback gained is usually used to cultivate an
organization’s leaders and managers.
Several companies, such as Personnel Decisions International
and the Center for Creative Leadership, administer
electronic assessments and provide extensive documented
feedback to the individual. These assessments can cost
hundreds of dollars. To save money, OD consultants may design
their own 360-degree evaluation.
WhyDoODConsultantsUse360-DegreeFeedback?
360-degree feedback is relevant because it helps validate what
the consultant has already observed and is trying to
convey to the client. When it is con�irmed in multiple other
ways, it gives the feedback greater validity. For example,
imagine you are working with a client who does not listen. You

repeatedly observe this behavior and share this
feedback with the client, who brushes it off. When lack of
listening shows up in a 360-degree evaluation and is
mentioned by almost everyone, it usually gives the leader pause
and reason to take the feedback more seriously.
HowIs360-DegreeFeedbackDone?
There are at least two approaches to 360-degree feedback. The
�irst is low budget, although it requires time and
experience. In this method, the consultant and client identify
key informants whom the consultant interviews about
the client’s performance. A consultant must be skilled and
experienced enough both to identify good interview
questions and manage the interview session so that it yields
rich, constructive data.
The second approach is to use a validated instrument that sends
con�idential questionnaires to participants
identi�ied by the client. The instrument is scored to show how
groups—such as subordinates, peers, and so forth—
rate the client. Also, feedback from the client’s boss is
identi�ied. To use these instruments, a consultant must be
certi�ied; or a certi�ied vendor should be used to provide
feedback. The consultant should be trained in facilitating

the session, interpreting the formal feedback, and framing the
feedback in a constructive manner.
DiSC
The DiSC is a popular assessment that measures behavioral
tendencies. It is useful for understanding how you or
others will typically behave.
WhatIsDiSC?
Understanding the motives behind behavior can offer valuable
insight into both individuals and teams, improving
the ability to work together and resolve con�lict. The DiSC
assesses a subject’s attitudes, values, beliefs, and
behaviors and identi�ies a behavioral style as either dominant,
in�luential, steady, or conscientious.
1. Dominant: Tends to be a direct, driving, demanding,
determined, decisive doer. This style is �iercely
independent and persistent about tasks. Dominant individuals
tend to focus more on the goal or task than
the people.
2. In�luential: Tends to be relational, interactive, imaginative,

energetic, inspiring, and friendly. This style is
highly social and relational and can be persuasive. In�luential
individuals tend to focus more on the people
than the task, which can cause them to be poor time managers.
3. Steady: Tends to be submissive, stable, supportive, shy,
accommodating, and peace seeking. This style is a
helper and will provide listening and support. Steady
individuals may sacri�ice their wishes for the good of
the whole.
4. Conscientious: Tends to be cautious, compliant, careful,
contemplative, and a critical thinker. This style
prefers logic, facts, and step-by-step procedures. Conscientious
individuals are very private and
unemotional.
WhyDoODConsultantsUseDiSC?
The DiSC is appropriate when examining behavior, especially
during coaching, leadership development, or team-
building exercises. Understanding behavior helps depersonalize

reactions as individuals or groups go about
problem solving, decision making, and implementing change.
HowIsDiSCDone?
You can take the DiSC free here: http://www.123test.com/disc-
personality-test (http://www.123test.com/disc-
personality-test) . You can also administer a longer, more
expensive test if you become a certi�ied vendor through
Inscape http://www.internalchange.com
(http://www.internalchange.com) , which is a provider of the
original
instrument.
Myers-BriggsTypeIndicator
The MBTI is a very popular assessment of personality
preferences based on Jungian psychology. It is used
worldwide.
WhatIsMBTI?
Understanding personality preferences is useful for self-
introspection and interpersonal dynamics. The MBTI
measures personality preferences according to four areas, as

outlined in Table 7.3.
Table7.3:MBTIPreferences
Description Preference Description
E: Extroversion
This preference draws essential
stimulation from the environment: The
outer world of people and things.
How you
accumulate
energy
I: Introversion
This preference draws essential stimulation from
within: The inner world of thoughts and re�lections.
S: Sensing
The sensing function takes in information
by way of the 5 senses: sight, sound, touch,

feel, taste and smell.
How you
gather data
N:Intuition
The intuiting function processes information by way
of a “6th sense” or hunch. A few pieces of data, then, a
quantum leap.
T: Thinking
The thinking function decides on the basis
of logic and objective considerations.
Usually dispassionate.
How you
make
decisions
F:Feeling
The feeling function decides on the basis of personal,
subjective values. Logic is used, but the impact of the

decision on others is added.
http://www.123test.com/disc-personality-test
http://www.internalchange.com/
Description Preference Description
J: Judging
A judging lifestyle is decisive, planned,
orderly, structured, and with a strong need
for closure.
How you
order life
P: Perceiving
A perceptive lifestyle is �lexible, adaptable, and
spontaneous. It is free and �lowing.
WhyDoODConsultantsUseMBTI?
Consultants use MBTI to understand how clients prefer to

accumulate energy, gather data, make decisions, and
order their life. The MBTI also helps individuals see how they
are similar to and different from other colleagues. The
MBTI is often used for team building, so it is a common
intervention at both individual and team levels.
As with any assessment, the administrator should be trained and
certi�ied in the use of the MBTI. Clients should also
be cautioned about the instrument’s limitations. The MBTI has
been widely critiqued. Psychologists question its
validity. Another problem with the MBTI is people tend to read
too much into the results and dichotomizing types,
rather than stay mindful of its limitations and applicability. This
is in part due to the MBTI’s use of binaries to type
people; that is, identifying someone as either introverted or
extroverted. The MBTI has also been critiqued for its
use in hiring decisions. This is considered an abuse of the
instrument, since it has also been criticized for having a
short test–retest interval, meaning that the result of the
personality type might change over time, depending on the
life circumstances of the test taker. This would render its use in
hiring decisions questionable at best. It can also be
inappropriately applied to work teams when types become
overused to explain behavior and enforce stereotypes
about colleagues (Burnett, 2013).

HowIsMBTIDone?
There are several versions of the MBTI. Of�icial instruments
cost money to administer and will be more thorough
and valid. You can access a free assessment at:
http://www.16personalities .com/free-personality-test
(http://www.16personalities.com/free-personality-test).
TakeAway7.3:Assessments
Assessments can help individuals gain insight and self-
awareness.
360-degree feedback provides the individual with feedback from
supervisors, subordinates, peers,
and other stakeholders.
The DiSC measures behavioral tendencies according to
dominance, in�luence, steadiness, or
conscientiousness.
The Myers-Briggs Type Indicator (MBTI) assesses personality
preferences according to how
individuals prefer to accumulate energy, gather data, make
decisions, and order their lives.
http://www.16personalities.com/free-personality-test

7.4CareerDevelopment
Many of the individual interventions discussed in this chapter
facilitate clients’ career progress by helping them be
more effective in their current job or preparing them for
advancement opportunities.
Brown (2007) de�ined careerdevelopment as a “lifelong process
involving psychological, sociological, educational,
economic, and physical factors as well as chance factors that
interact the in�luence the career of the individual” (p.
14). As Brown suggested, fostering this process requires “both
self-awareness and knowledge of the occupational
structure” (p. 2). Career development is heavily in�luenced by
values and role models. This in�luence is visible in
how people make career decisions, how they prepare for
careers, how their careers unfold, how careers in�luence
identity, and how people integrate their careers with their lives.
Career development interventions are intended to
help people set career-related goals and make choices. Such
interventions might include developing self- and
occupational awareness, re�ining job-searching skills, adjusting
to occupational choices, and coping with job stress

or loss.
People are an organization’s most important resource.
Organizations that are not focused on hiring, developing, and
retaining a talented workforce will have dif�iculty competing.
Career development practices help ensure that people
in organizations are prepared to perform at high levels. In
CareerDevelopmentInterventionsforthe21stCentury,
Niles & Harris-Bowlsbey (2004) suggest that clients need to
develop the following competencies to be most effective
at planning for and managing their careers:
1. using both rational and intuitive approaches in career
decision making;
2. being clear about the importance attached to each life role
and the values one seeks to express through
participating in these roles;
3. coping with ambiguity, change, and transition;
4. developing and maintaining self-awareness;
5. developing and maintaining occupational and career
awareness;
6. developing and keeping one’s occupationally relevant skills
and knowledge current;
7. engaging in lifelong learning;

8. searching for jobs effectively, even when one is not job
seeking;
9. providing and receiving career mentoring; and
10. developing and maintaining skills in multicultural
awareness and communication.
This section will pro�ile some common career development
interventions such as performance management, career
plan development, and developmental relationships.
PerformanceManagement
“Loyalty. Long-term career opportunities. Corporate cultures
that allow employees to speak their mind. Senior
leaders who lead by example. A new study of how high-
performing companies motivate their people shows that
some old values—as in sound management practices—never go
out of style. Because they work” (Lipman, 2014).
Lipman (2014) reports on a study by Towers Watson, “Tracking
People Priorities and Trends in High-Performance
Companies,” that explored trends in employee opinions over a
5-year period. The high-performing group, which was
a cross-section of diverse industry sectors, included 26
organizations that outperformed peers in “�inancial

performance” and “employee opinion scores.”
The study showed that four speci�ic areas contributed to these
organizations’ success:
1. Career development: particularly companies that put an
emphasis and value on talent development and
providing long-term career development opportunities and
training.
2. Empowerment: providing open, supportive cultures that
cultivate innovation and empower staff.
3. Rewards and recognition: offering compensation packages
that satisfy employees, including bene�its and
nonmonetary recognition. Of high importance was having a
supervisor who valued employee contributions.
4. Leadership: delivering leadership that satis�ies employees,
particularly with regard to communication and
making decisions that were consistent with company values.
Top organizations are high performing on multiple levels,

including how they manage and develop people, as shown
by the recent study.
WhatIsPerformanceManagement?
Performancemanagement is the process of aligning organization
resources, systems, and people with business
goals and strategy. Performance management can involve parts
of the organization, such as departments, people, or
even products. This chapter is concerned with performance
management as it relates to individuals. It focuses on
individual goal setting and performance appraisal systems and
how they are aligned with reward systems. For
example, an organization that takes a strategic approach to
performance management would articulate its key goals
and ask employees to identify ways they can link achieving
them to their own goals.
WhyDoODConsultantsFacilitatePerformanceManagement?
“Errors in managing people always add to the cost of a product
or service” (Daniels, 1985, pp. 225–226), which is
why companies use performance management to help identify
performance problems, determine a baseline, make
an intervention, and evaluate results. OD consultants commonly

encounter performance issues; helping
organizations address them can signi�icantly improve
organization outcomes.
Daniels (1985) observed that performance can be changed when
you change the consequences of what happens to
employees based on their performance. In other words, create
penalties when desired performance is not achieved
and rewards for when it is. He criticized organizations for too
rarely tying performance to consequences that
directly impact performance, such as salary increases, bonuses,
promotions, pro�it sharing, or recognition. Instead,
most organizations fall into the trap of giving nonconsequential
rewards that may seem related to performance but
rarely are. These include cost-of-living adjustments, seniority-
based pay and experience, and whims of the boss.
HowIsPerformanceManagementDone?
Aubrey Daniels is credited with developing the concept of
performance management in the 1970s. He wrote that
approaches to employee productivity need to answer the
following questions: “What should employees be doing?
And precisely how can they be motivated to do it?” (Daniels,
1985, p. 225). Performance management has three

components: positive reinforcement, measurement, and feedback
(Daniels, 1985).
Positive reinforcement helps employees achieve maximum
performance. Daniels (1985) considered it the opposite
of the “do it or else” mentality that threatens negative
consequences when employees fail to perform, and instead
advocated a “do it andelse!”philosophy where the employee
performs well and then something “distinctly pleasant”
(p. 228) happens to them. Positive reinforcement has proved
more effective at eliciting high performance than other
methods. Organizations need to be clear about what the positive
consequences are and ensure they are awarded
soon after the positive performance.
Measurement is the second aspect of fac-ilitating performance
management. Daniels (1985) believed that any
behavior could be measured according to its frequency and
quality. A problem with creating behavioral
measurements in most organizations is that employees expect
negative consequences when they do not make their
numbers. Instead, Daniels advocated measurement as a tool “not
to justify punishment, but to recognize
improvement” (p. 231). Measurement is important, since it is
the only accurate way to gauge whether desirable

behaviors are occurring.
TipsandWisdom
Check out performance appraisal examples and tips at this
website: http://www.businessballs
.com/performanceappraisals.htm(http://www.businessballs.com/
performanceappraisals.htm).
Here you will �ind a plethora of information on performance
appraisals, such as examples and templates of
appraisals, tips for making them easier and more effective,
resources for engaging in your own self-
appraisal, and more.
The third element of performance management is feedback.
Feedback provides information about the employee’s
performance that helps improve future performance. As Daniels
(1985) put it, “Thesolepurposeofmeasurementand
feedbackistocreateopportunitiesforpositivereinforcement” (p.
232).
Deming (1982, 1986), father of the total quality management

movement discussed in Chapters 1 and 8, opposed
individual performance appraisals, arguing they only encourage
short-term goals and undermined teamwork. They
also tend to focus on negative reinforcement and fail to account
for issues beyond the control of individual
employees, such as systemic organization problems
(problematic equipment, processes, and management).
Performance management offers an alternative to ineffective
feedback and appraisal.
CaseStudy:PilotingandEvaluatingaNewPerformanceAppraisalPro
cess
The Health Defender Insurance Company of Georgia is in
trouble. The company’s salespeople spend most
of their time �ielding complaints about poor customer service.
As one sales rep complained, “All we hear
about is how slow our claims processing is and how we don’t
respond to the customer.” Sales of new
contracts have dropped dramatically over the past few years,
and something has to be done.
The company’s new president, Julie Goodrow, is distressed at
the company’s state. Dwindling accounts,
stressed employees, and frustrated management seem to be the

norm. She explains the predicament to an
OD consultant, Dan Rock, with whom she worked at her former
institution. She and Dan work through the
action research process to develop an OD intervention. A year
later, Health Defender is in a completely
different place. Its new contracts are at their highest rate ever,
and Health Defender is outperforming every
other state division of the company in the United States.
What was behind Health Defender’s turnaround? The company
made a fundamental change to how it
managed its frontline employees by implementing a
performance management process that incorporated
Daniel’s (1985) key elements of positive reinforcement,
measurement, and feedback. The results were
dramatic and not only included new accounts, but also higher
quality customer service and a restored
corporate image. Internally, the company also improved morale,
decreased absenteeism, and improved
employee relations.
The intervention involved training 180 managers and 15
executives, including Julie herself, in performance
management. The change was met with the skepticism and
resistance that most changes induce in

organizations. Health Defender had to overcome previous failed
productivity improvement initiatives and
efforts to measure performance that were viewed as punitive
and threatening.
http://www.businessballs.com/performanceappraisals.htm
CareerPlanDevelopment
Plato (2000) said, “The beginning is the most important part of
any work” (p. 365). Indeed, good beginnings usually
involve good plans. It is dif�icult to accomplish big goals if
you do not have a vision of what you want to do or how to
get there. Career plans serve this function, and consultants work
with clients on an individual level to develop them.
WhatIsCareerPlanDevelopment?
A simple yet powerful intervention for individual career
development is to ask the client to complete a written plan
for his or her immediate, midterm, and long-term career,
including developmental needs. This is known as career
plandevelopment. Often, it is helpful to work in 5-year
increments with shorter or longer increments, depending

on the person and their role. A typical career plan might include
ideal job descriptions, assessments, work locations,
and necessary training and higher education requirements.
WhyDoODConsultantsEncourageCareerPlanDevelopment?
Consultants use career paths because they help clients focus on
what they want to do and create a road map for how
to get there. Career plans are developed by doing a thorough
self-assessment, often using some of the assessments
we have discussed in this book. It is also useful to research
various career paths that are desirable. Articulating goals
and plans are very powerful activities that help clients imagine
a desired future and create the steps they need to
achieve it. Career goals can also help clients set priorities,
identify needed resources, target potential mentors, and
make changes in their current positions to get better aligned for
the future.
HowIsCareerPlanDevelopmentDone?
Here are some steps for writing a career plan:
1. Identify goal(s)
2. Outline key action steps for the immediate and longer term

3. Determine the developmental requirements needed to meet
the goal(s):
a. Skills
b. Abilities
c. Interests
Health Defender spent a year implementing the performance
management process by incorporating
regular feedback and positive reinforcement with rewards for
improving. It took some time, but eventually
this new feedback-driven process became second nature to
managers. A walk through their of�ices reveals
graphs of performance data at works stations and a culture that
is driven by measurement and healthy
competition between departments to see who has the best
performance.
Health Defender’s results are impressive. The time to process
health claims dropped dramatically,
backlogged claims dropped by half, and overall productivity
increased. Employee attitudes and morale also
improved. People are happier, more responsive to customers,
and more satis�ied with their jobs and with
management.

1. What types of positive reinforcement do you think would be
effective for Health Defender?
2. How would you manage resistance to a performance
management implementation?
SOMOS/SuperStock
Mentoringisadevelopmentalrelationship
inwhichaseniorpersonhelpsamore
d. Education
e. Experiences
4. Update your resume
5. Outline next steps
Once the plan is written, it should be shared with a supervisor
or mentor and assessed and revised as necessary.
Have you ever written a career plan? It is a very powerful
exercise that helps you visualize your future and

determine how to make it a reality.
TipsandWisdom
There are dozens of assessments and resources available related
to careers. O*NET is a U.S. Department of
Labor resource
(http://www.onetonline.org(http://www.onetonline.org)) that
brings access to job
information, assessments, and salary information together in
one place and is “the primary source of
occupational information in the United States” (Brown, 2007, p.
213). Other assessments that may be
useful include the Strong Interest Inventory, Skills Con�idence
Inventory, Myers-Briggs Type Inventory,
Self-Directed Search, and Career Key (Brown, 2007).
DevelopmentalRelationships
The adage “It isn’t what you know, it’s who you know” is often
used to describe the way in which opportunities and
advancement may be less a function of specialized training and
more a matter of networks that connect us to people
who can help us advance. These relationships are known as
developmentalrelationships.

WhatIsaDevelopmentalRelationship?
A relationship that helps advance someone’s career is likely a
developmental relationship. This term encompasses a
range of relationships that “contribute to individual growth and
career advancement” (Crosby, 1999, p. 7). These
include mentoring as well as less intense relationships such as
sponsorship, networks, and peer support:
When a senior person takes interest in the learning,
advancement, and career development of a junior person,
this relationship is mentoring.
When someone supports you for a particular assignment,
recognition, or promotion, this relationship is known as
sponsorship.
When you belong to a group that shares a particular af�inity
for challenges unique to that group—such as women,
people of color, or LGBTQ—you belong to a network.
When you provide mentoring or coaching to a person at
your same rank or position, you are offering peersupport.
If you in a developmental relationship, how would you classify
it?

WhyDoODConsultantsEncourageDevelopmental
Relationships?
http://www.onetonline.org/
juniorpersonnavigatecareerissues,
challenges,andopportunities.
Developmental relationships can be rich opportunities for
learning,
increased visibility, exposure to role models, developmental
experiences, and promotional opportunities. Although
developmental relationships depend on the right chemistry,
consultants can encourage organization members to
forge them.
HowAreDevelopmentalRelationshipsDeveloped?
As a consultant, you may not be able to direct people to form
developmental relationships, because they depend on
timing and chemistry. However, you can help individuals
develop skills to build effective developmental
relationships. In seeking a developmental relationship, you will
want to:

Observe how your colleagues and superiors interact and learn
from them.
a. What do they do well?
b. How could they improve?
c. What do you want to emulate?
d. With whom do you want to build a relationship?
Talk about your career plan with your supervisor, colleagues,
and others with whom you might like to
develop a developmental relationship.
Ask past and present colleagues, supervisors, professional
contacts, mentors, coaches, family, or friends for
feedback on your key strengths and growth areas.
Reach out to people with whom you would like to build a
developmental relationship. Share your career
aspirations and ask for their help.
Join professional associations and get involved.
Thank the people who help you and pay it forward.
Tips for being in the more senior role in a developmental
relationship include:
Be a positive role model. Conduct yourself in ways you want to
see your protégés emulate—they are
watching you.

Show genuine interest and learn about your protégé. This means
following through on your commitment to
provide support and guidance when needed and make time for
the person.
Share your experiences, insights, and mistakes, and model
re�lective practice.
Listen. Be patient.
Be open-minded and compassionate.
Ask questions and avoid giving answers.
Provide a fresh, objective perspective.
Give constructive feedback and positive reinforcement.
Help your protégé network.
Celebrate your protégé’s achievements and give public
recognition.
Continue to seek mentoring yourself to keep your edge.
Comentor with a peer—mentor each other.
You can see from this section that Lindsey, from the opening
vignette, underwent several career development
interventions, beginning with her career counselor. She also had
training and experience (via higher education and
corporate-sponsored programs) that boosted her career. She had
a developmental relationship through her mentor,
while her new work supervisor encouraged her to write a career
plan and gave her feedback through performance

appraisal.
TakeAway7.4:CareerDevelopment
Career development is a process of lifelong learning that
in�luences individual career choices
according to psychological, sociological, educational,
economic, and physical factors.
Performance management involves elements of positive
reinforcement, measurements, and
feedback to achieve optimal organization performance.
Career plan development is the process of helping the client
document career goals and values and
create a road map for the present, near- and long-term future.
Developmental relationships are ones that help individuals
advance their careers, such as
mentoring, sponsorship, networking, peer support, and
coaching.
7.5JobDevelopment

Sometimes the intervention is less about the individual and
more about the job. For example, key responsibilities of
a secretary once included tasks like taking dictation, composing
correspondence, and scheduling meetings. Today
technology makes it possible for most of us to do these things
ourselves. Thus, the secretary of yesteryear is today’s
administrative professional, whose duties have dramatically
changed to include project management, purchasing,
meeting and event planning, writing and editing, creating and
delivering presentations, maintaining multiple
schedules and calendars, and electronic record keeping, all
using multiple computer software applications
(International Association of Administrative Professionals,
2014). The evolution of the administrative professional
role is but one example of how a job has changed. Organizations
have the challenge of helping employees evolve
with the changing needs of the job. This can be particularly
challenging for workers who have been in a job for many
years.
When we make interventions that are job speci�ic, we are
undertaking jobdevelopment. The interventions that
may be used include redesigning jobs, writing job descriptions,
and creating policy.

Consultants make job development interventions when certain
jobs no longer meet the needs of the organization
and must be restructured to better respond to organization
needs, market shifts, or customer demands. For
example, airport check-in areas today are peppered with self-
service kiosks. Employees working the registration
area need to be able to help customers troubleshoot as they
check in for their �lights.
Job development can be accomplished through job redesign, job
description writing, and policy development.
RedesigningaJob
A jobdesign is the way a job is organized in terms of its tasks or
overall purpose (McLean, 2006). Redesigning a job
requires identifying the tasks of the job, how to do them, how
many to do, and in what order. More broadly, it
involves assessing the current work practices, conducting a task
analysis, designing or redesigning the job,
implementing the new design gradually, and evaluating the
design on a regular basis (McLean, 2006).
OD consultants are frequently hired to redesign jobs in order to
“heighten skill variety, task identity, task

signi�icance, autonomy, and feedback from the job” (French &
Bell, 1999, p. 236). Another common reason for job
redesign is to accommodate advances in or problems arising
from technology. The traditional secretarial job, for
example, was redesigned to keep pace with advances in
communication and information technology. A
manufacturing process may be changed when repetitive hand
movements begin to cause physical problems for
workers, such as carpal tunnel syndrome.
McLean (2006) noted that a job redesign is more likely to
succeed when the plan considers not only the individual
job but also how it interacts within the complex context of the
organization. If we return to the example of airline
registration employees, they are required not just to help
customers learn how to use the self-service kiosks, but
also to negotiate an increasingly global, diverse traveling
population and help travelers with any problems they
encounter.
Like any change, job redesign will be most effective when
employees participate in the process. Employees know the
precise details of the job as well as its challenges and stressors,
making them best equipped to identify new designs.

JobDescriptions
Job development can also be aided by having a clear, current
job description; that is, a document identifying the key
aspects of the position. Essential elements of a jobdescription
include:
Job title
Start date
Job location
Contact information
Number of available positions
Number of hours per week
Required years of experience
Required education
Required license, certi�icate, or registration
Starting salary
Bene�its. (McLean, 2006, pp. 146–147)
Job descriptions exist in most organizations, although their
quality and accuracy depend on the human resource
function that is usually responsible for overseeing them.
Accurate job descriptions serve several purposes. First,

they identify the job’s key responsibilities and quali�ications.
Prospective employees need this information to gauge
whether they want to apply. Job descriptions can help managers
set expectations for employees and determine key
measures of performance. Job descriptions are also useful when
evaluating employee performance. They also help
determine equity across positions in large organizations because
they allow job characteristics and requirements to
be compared.
Figure7.1:Jobdescriptionandjobspeci�ication
Ajobdescriptiondetailskeyaspectsofaposition,suchasits
title,grade,payrollstatus,andexpectations.
TipsandWisdom
There are several resources for writing effective job
descriptions. Check out these resources:
U.S. Small Business Administration: Writing Effective Job
Descriptions:
hhttp://www.sba.gov/content/writing-effective-job-

descriptions(http://www.sba.gov/content/writing-
effective-job-descriptions)
O-NET OnLine (Occupational Network):
http://www.onetonline.org(http://www.onetonline.org)
Policies
Corporate policy statements offer the organization a blueprint
for operating. Many companies have policy
statements that describe legal obligations, compensation, work
rules, grievance procedures, and leave guidelines, to
http://www.sba.gov/content/writing-effective-job-descriptions
http://www.onetonline.org/
name a few.
WhatArePolicies?
Policies are rules according to which an organization and its
members act. Employee handbooks usually have
information on the following organization policies:

Nondisclosure agreements and con�lict of interest statements
Antidiscrimination policies in compliance with the equal
employment opportunity laws prohibiting
discrimination and harassment (e.g., the Americans with
Disabilities Act)
Compensation, including required deductions for federal and
state taxes and any voluntary deductions for
the company’s bene�its programs. Other compensation issues
include:
a. Overtime pay
b. Pay schedules
c. Performance reviews
d. Salary increases
e. Timekeeping records
f. Breaks
g. Bonuses
Wage and hour laws
Employment taxes
Workers’ compensation
Work schedules
Standards of conduct
General employment information
a. Employment eligibility
b. Job classi�ications
c. Employee referrals

d. Employee records
e. Job postings
f. Probationary periods
g. Termination and resignation procedures
h. Transfers and relocation
i. Union information, if applicable
Grievance procedures
Employment and labor laws
Foreign workers, immigration and employee eligibility
Performing preemployment background checks
Terminating employees
Unions
Safety and security
Computers and technology
Media relations
Employee bene�its
Leave policies
WhyDoODConsultantsHelpOrganizationsDevelopPolicies?
OD consultants might be hired to update policy statements when
they are out of date, the company merges with
another, or they do not exist. Most companies will involve legal
counsel in this process to ensure they are in
compliance with the law.

Policy can in�luence organizational culture, so it deserves
ongoing attention. For example, an organization’s
maternity policy can offer some insight into how supportive the
organization is of mothers and families.
Organizations can also signal how inclusive and equitable they
are by the types of policies they keep around
governance and access to promotional opportunities.
As we have discussed throughout this book, employees should
be involved in policy development or change to
promote buy-in.
TakeAway7.5:JobDevelopment
Job development makes interventions related to job redesign,
job descriptions, and policy
development.
Job redesign is the reordering of the overall purpose or tasks of
a job to ensure it meets the
organization’s needs.
Job descriptions document key aspects of a job in terms of
responsibilities and quali�ications.

Policies ensure that organizations have a blueprint for operating
that details legal obligations,
compensation, work rules, grievance procedures, leave
guidelines, and so forth.
SummaryandResources
ChapterSummary
Re�lective practice helps clients re�lect critically on their
thoughts and action by considering re�lection in
action, re�lection on action, and espoused theory versus theory
in use.
T-groups are small groups in which individuals receive
feedback on how their behavior affected the other
members of the group. When done effectively, T-groups
facilitate deep critical re�lection and self-awareness.
Training, education, and development help individual
employees get the requisite knowledge, skills, and
abilities to perform their jobs.
Action learning engages employees in cycles of re�lection and
action about real problems they encounter in
their real workplace.
Leadership and management development targets current and

potential leaders to ensure they have the
core skills to help the organization reach levels of high
performance.
Values clari�ication and integration helps leaders and managers
articulate their key values and integrate
them into the daily behaviors as they manage and lead
employees.
Coaching is an intense relationship between a coach and
coachee that seeks to create positive changes in
business behavior.
Assessments help individuals gain insight and self-awareness.
360-degree feedback provides the individual with full-circle
feedback from supervisors, subordinates, peers,
and other stakeholders.
The DiSC measures behavioral tendencies according to
dominance, in�luence, steadiness, or
conscientiousness.
The Myers-Briggs Type Indicator (MBTI) assesses personality
preferences according to how individuals
prefer to accumulate energy, gather data, make decisions, and
order their lives.
Career development is a process of lifelong learning that
in�luences individual career choices according to
psychological, sociological, educational, economic, and
physical factors.

Performance management involves elements of positive
reinforcement, measurements, and feedback to
achieve optimal organization performance.
Career plan development is the process of helping the client
document career goals, values, and a road map
for the immediate present, near- and long-term future.
Developmental relationships are ones that help individuals
advance their careers, such as mentoring,
sponsorship, networking, peer support, or coaching.
Job development makes interventions related to job redesign,
job descriptions, and policy development.
Job redesign is the reordering of the overall purpose or tasks of
a job to ensure it meets the needs of the
organization.
Job descriptions document key aspects of a job in terms of its
responsibilities and quali�ications.
Policies ensure that organizations have a blueprint for operating
that detail legal obligations, compensation,
work rules, grievance procedures, leave guidelines, and so
forth.
1. Pick an assessment presented in this chapter (or book) and
take it. What new insights did you gain? Are

there contradictions? Con�irmations? What implications do
they have for your career?
2. When was the last time you sat down and deeply re�lected
on where you are in your career and where you
are going? Make some time for yourself to do some careful
thinking and determine if you are on track.
3. Have you been involved in a developmental relationship?
How would you classify it? How helpful was it?
4. Review the tips for building developmental relationships.
What do you need to work on to �ind a mentor or
sponsor? How can you be a better mentor or sponsor?
1. The chapter began with a vignette about Lindsey, who was in
a career transition. Have you ever been in a
career transition or known someone who was? What types of
interventions were applied?
2. Write a career plan as outlined in this chapter.
3. Identify a position that you aspire to. Do some research and
document:

a. the education and training required
b. salary
c. a city you prefer to live in, in terms of cost of living,
environment, and so forth
4. Talk with people in the position you aspire to and get their
advice.
5. What training, education, and development have you done in
the past year? Write down an inventory and
see how well your learning has aligned with your career plan.
6. Get a copy of your current job description. Review it for
accuracy and rewrite it if it needs updating.
7. Review the policies for your organization and note key likes
and dislikes.
8. Review or write a job description for your position or desired
positions.
9. Write or revise your resume.
AdditionalResources
Media
360DegreeFeedbackHumor

https://www.youtube.com/watch?v=OXJkP13xACg(https://www
.youtube.com/watch?v=OXJkP13xACg)
WebLinks
Learning,Training,andDevelopment
The Association for Talent Development, a professional
association of learning and development resources.
http://www.astd.org(http://www.astd.org)
Training, Development, and Education for Employees, a page
that offers employee development resources, including
on-the-job training, training transfer, internal training, and
more.
http://humanresources.about.com/library/bltraining.htm
(http://humanresources.about.com/library/bltraining.htm)
International Foundation for Action Learning, a charity that
supports a network of action learning practitioners and
enthusiasts.
http://ifal.org.uk(http://ifal.org.uk)or http://www.ifal-

usa.org(http://www.ifal-usa.org)
Action Science, which aims to accurately describe and
ef�iciently demonstrate the theory and practice of action
science and to connect individuals and groups interested in
working with action science.
http://www.actionscience.com(http://www.actionscience.com)
LeadershipDevelopment
Performance, Learning, Leadership, and Knowledge, a window
into learning, training, leadership, design, and all
matters related to improving human performance.
http://www.nwlink.com/~donclark/index.html(http://www.nwlin
k.com/~donclark/index.html)
https://www.youtube.com/watch?v=OXJkP13xACg
http://www.astd.org/
http://humanresources.about.com/library/bltraining.htm
http://ifal.org.uk/
http://www.ifal-usa.org/
http://www.actionscience.com/
http://www.nwlink.com/~donclark/index.html

Coaching tips to make you a more ef�icient coach.
http://humanresources.about.com/od/coachingmentoring/a/coach
ing.htm
(http://humanresources.about.com/od/coachingmentoring/a/coac
hing.htm)
CareerDevelopment
National Career Development Association, which offers
professional development, resources, standards, scienti�ic
research, and advocacy.
http://www.ncda.org/aws/NCDA/pt/sp/home_page(http://www.n
cda.org/aws/NCDA/pt/sp/home_page)
Assessment
The Riley Guide, which offers useful self-assessment resources.
http://www.rileyguide.com/assess.html(http://www.rileyguide.c
om/assess.html)

JobDevelopment
JobDesign, an interesting management blog.
https://www.boundless.com/management/organizational-
behavior/job-design-and -motivation/de�ining-
job-design
(https://www.boundless.com/management/organizational-
behavior/job-design-and-motivation/de�ining-job-
design)
KeyTerms
actionlearningset
A group of six to eight people who come together to work on a
problem using action learning.
assessments
Instruments that measure myriad aspects of individual attributes
such as personality, learning style, or cultural
awareness.
careerdevelopment
The lifelong process of balancing psychological, social,
educational, economic, and physical variables in making

career decisions.
careerplandevelopment
A written plan that identi�ies immediate, midterm, and long-
term career goals and developmental needs.
coaching
A one-on-one helping relationship focused on replacing the
client’s ineffective business behaviors with positive
ones.
development
The cultivation of interests, not necessarily related to work.
developmentalrelationship
A relationship that helps advance an individual’s career, such as
mentoring, sponsoring, or networks.
education
The cultivation of reasoning and analytical problem solving.
http://humanresources.about.com/od/coachingmentoring/a/coach
ing.htm
http://www.ncda.org/aws/NCDA/pt/sp/home_page
http://www.rileyguide.com/assess.html

https://www.boundless.com/management/organizational-
behavior/job-design-and-motivation/defining-job-design
espousedtheoryversustheoryinuse
Inconsistency between your actions and what you profess you
will do.
jobdescription
A document that details the key aspects of a position.
jobdesign
The way a job is organized.
jobdevelopment
Job-speci�ic interventions.
leadershipdevelopment
Helping people guide the organization, create long-term vision,
develop strategy, staff the organization,
communicate, and motivate people toward the vision.
managementdevelopment
The process of equipping people to execute day-to-day practices
of organizing, staf�ing, planning, budgeting,

controlling, directing, and problem solving.
mentoring
A helping relationship where a more senior individual provides
career advice and support to a less senior
individual.
peersupport
Mentoring and sponsorship provided to a person of similar rank.
performancemanagement
The process of aligning individual employee performance with
organization goals and strategy.
re�lectioninaction
Re�lective practice about an experience and potential actions
during the experience.
re�lectiononaction
Re�lective practice about and experience and potential actions
after the experience.
sponsorship
Supporting and recommending individuals for career
advancement experiences and opportunities.

360-degreefeedback
An assessment method in which performance feedback is
solicited from multiple sources at the levels
surrounding the individual (self, subordinate, peers, and
supervisor). This is also known as multirater feedback.
training
The accrual of job-related knowledge.
valuesclari�icationandintegration
Exercises that help individuals articulate their key values and
incorporate them into their thoughts and actions.
8 Group Interventions
Caiaimage/SamEdwards/OJO+/GettyImages
LearningObjectives
Identify interventions that OD consultants use to build highly

functioning groups and teams.
Identify situations in which diversity and inclusion
interventions are warranted and describe
various interventions.
Recognize when individuals or teams are in con�lict and
discuss different interventions for
resolving the con�lict.
Explain how problem solving and decision making are handled
in organizations.
Ammit/iStock/Thinkstock
Onitsretreat,AutoMarkengagedin
activitiesthatbuiltteamworkand
communication.Whatactivities
wouldyourecommendfor
encouragingteamcohesion?
AutoMark,anautomotivepartsmaker,neededtoradicallychangethes
oundsystemithadproducedforyears.Fast-
changing technology and computer advances had made even

relatively new vehicular sound systems obsolete.
Producinganewsoundsystemposedahostofchallenges:designingth
ecomponent,ensuringcompatibilitywithother
components and systems in the vehicle, and communicating
across several functional areas, including design,
manufacturing,engineering,andtheunion.AutoMark’sgeneralman
ager,David,wasnewandhadinheritedabusiness
with a long history of botching new system launches: They were
chronically late, over budget, and under quality
speci�ications.DavidhadrecentlybeenexposedtoODinhisevening
MBAcoursesandwasanxioustoseeifhecould
changeAutoMark’strackrecordwiththenewsoundsystemrollout.
Davidcontactedthecompany’sinternalODperson,Anne,toseewhatc
ouldbedoneabouttheanticipatedsoundsystem
launch.Aftercompletingtheactionresearchstepstodiscovertheprob
lems,theydeterminedthattheteaminvolved
hadtobemorecross-
functionalandthattheteammemberslackedtherequisiteskillstopull
offasuccessfullaunch.
Theydecidedtoputanewteaminchargeofthelaunch.
Thenewteamwascomposedofrepresentativesfromdesign,manufact
uring,engineering,andtheunion.Theteam’s
�irst meeting consisted of a charge to alter the way AutoMark

handled new system launches. The team members
establishedroles,groundrules,andaclearpurposestatementfortheir
work.Theyagreeditwouldbebene�icialto
buildtheteam’sskills,andso,withAnne’shelp,theyplannedaretreatt
osetthemselvesupforsuccess.
Theretreatwasheldthefollowingmonthatanoff-
sitelocation.Everyone
ontheteamhadtakenaDiSCassess-ment(seeChapter7);those results
weresharedwiththeteamsoindividualscouldbegintoappreciatetheir
differences and communicate effectively with each other. The
team
membersengagedinactivitiestohelpbuildcohesionandunderstandi
ng.
They learned new skills for managing dif�icult conversations
and for
listeningduringdisagreements.Theyalsolearnedanewproblem-
solving
model and reviewed quality standards to make sure these issues
were
consistentlyconsideredintheirprocess.Finally,theyrevisitedtheiro
riginal
purpose,groundrules,androlestoseeiftheseneededtobealteredbase
d
ontheirworkoverthepastmonth.

Theretreatwasasuccess,andthegroupdoveintoitswork.Thegroupw
as
highly functioning, based on its up-front investment to establish
a
functional,collaborativeteam. During the �irst few meetings
there were
somemomentsofconfusion;peoplewerenotsureofthekeygoal,andat
timesrolesandresponsibilitieswerenotclear.Butthegroupwasablet
o
resolve each of these issues. So far, the team was ahead of
schedule on
makingdecisionsandgettingapprovalsonthenewsoundsystem’sdes
ign.As the launch date got closer, the team
memberswereunderincreasingstressandsomebegantoexperienceco
n�lict.Meetingsweregettingboggeddownby
disagreements;peoplearguedoverdecisions,andsomeresortedtoper
sonalattacks.Twomembersinparticulardid
notlikeeachotherandusuallystirredthingsupfortherestoftheteam.
Davidbecameincreasinglyconcernedthatthedisagreementsweresa
ppingtoomuchtimeandenergyfromtheteam.
He decided to intervene and called the two instigators into a
meeting, where he could mediate the dispute. Anne

facilitatedtheconversation,sinceshewasaneutralparty.Thetwotea
mmembersairedtheirgrievancesand were
eventuallyabletoidentifycommongroundandproblemsolvetheiriss
ues.
Theteamwentontocompleteitsworkafterthemidpointintervention.
Usingadeliberateteamprocesshelpedthe
teamturnthelaunchprocessaroundwithanon-time,under-
budget,andsuperior-qualityproduct.
This book has focused on undertaking OD using the action
research model. We have moved through the three action
research phases of planning, doing, and evaluating. This chapter
is devoted to pro�iling several interventions that
might be appropriate at the group or team levels of analysis and
assumes you have followed the action research
process up to the point of intervention and carefully selected an
intervention in collaboration with the client (see
Table 5.1).
planning that occurs in phase 1 of the action research

model. They are implemented in phase 2, doing or action, and
assessed in phase 3, checking or evaluating. Chapter 5
de�ined OD interventions as the actions taken on the problem
or issue that is the focus of the OD process.
Intervention is the culmination of the OD process—it is what
OD intends to do from the start.
The interventions covered in this chapter are not
comprehensive, but rather representative of the many options
available. This book could include dozens, as the range and
potential of OD interventions are nearly endless. Rather
than get lost in a sea of interventions, this chapter presents
some of the most common group and team interventions
(see Table 7.2).
Human interactions tend to be messy and unpredictable, and
groups have fascinating dynamics as they negotiate
roles, differences, work practices, power relations, and tasks.
OD consultants commonly address the challenges that
arise in groups with interventions to improve group or team
process and development, increase diversity and
inclusion, manage con�lict, and solve problems and make
decisions. The interventions within each of these
categories are summarized in Table 8.1 and are pro�iled in this
section.

Table8.1:CategoriesofgrouporteamODintervention
Grouporteamprocessand
development
Diversityand
inclusion
Con�lict
management
Problemsolvingand
decisionmaking
Dialogue
Team life cycle
Team start-up or
transition
Team building
Team learning
Virtual teams
Cultural
awareness

Cross-cultural
development
Con�lict
resolution
Confrontation
meetings
Third-party
intervention
Appreciative
inquiry
Work-Out
Total quality
management (TQM)
Quality of work life
(QWL)
Problem-solving
models
8.1GrouporTeamProcessandDevelopment
Although the terms group and team are often used

interchangeably, they have different de�initions. Suppose a
group
of people gets on an elevator. A team emerges in the event the
elevator gets stuck. A group usually consists of three
or more people that may share common perceptions,
motivations, goals, or organization membership. In the case of
the elevator, the group shares the common goal of traveling to a
different �loor. When the elevator becomes stuck,
the group is suddenly transformed into a team. These team
members not only share a common goal (getting out of
the elevator) but must work together to achieve it. The
difference is subtle, but important for understanding group
dynamics. Table 8.2 contrasts groups and teams.
Table8.2:Contrastinggroupsandteams
Groups Teams
1. Compete against each other
2. Seek personal agendas
3. Are staid and stodgy
4. Make decisions independently
5. Are motivated by fear
6. Fail to connect teamwork with success
7. Operate dependently or independently

8. Tolerate each other and the work
9. Accept complacency with no sense of urgency
10. Avoid risk
1. Compete outward together
2. Share a team agenda
3. Value innovation and continuous improvement
4. Make decisions participatively
5. Are motivated by opportunity
6. Link team success to organization success
7. Work Interdependently
8. Enjoy each other and the work
9. Embrace sense of urgency
10. Thrive on challenge, take risks
Because an organization’s work is largely carried out by teams
whose members have to cooperate, create, and
collaborate, helping members build these interpersonal skills
and the infrastructure in which they are supported
can boost the organization’s ability to accomplish its mission.
Building capacity in group or team process and
development is important to ensure that new groups or teams
start off on the right foot, as well as to strengthen

established groups or teams that are embroiled in con�lict,
unproductive, or lacking focus. This section features
some interventions that OD consultants use to build highly
functioning groups and teams.
Dialogue
Can you recall a conversation in which each person aggressively
advocated a point and tried to convince everyone to
agree? What was the outcome? Such win–lose conversations do
not usually result in constructive outcomes or new
learning for the participants, yet they are dif�icult to avoid.
Just turn on your television or radio, listen to politicians,
or attend a meeting for numerous examples of such point–
counterpoint discussion, which is often heated. This type
of communication is a discussion, the dominant form of
discourse in U.S. culture that generally involves participants
aggressively advocating their own point of view.
“The word discussion stems from the Latin discutere, which
meant “to smash to pieces’” (Senge, Kleiner, Roberts,
Ross, & Smith, 1994, p. 353). The term is also related to the
words percussion and concussion, with the general
meaning of heaving back and forth to beat the opponent down
and prove a point in a win–lose confrontation.

Discussion promotes group fragmentation and wars of advocacy
between members. Linguist Deborah Tannen
(1999) refers to this conversational crisis as the “Argument
Culture,” in which communication is focused on
confrontational discourse; it is a win–lose proposition for
individuals caught in this vicious conversational cycle.
Alternatively, you can probably recall really invigorating,
exciting
conversations in which each participant built on the points
being made
and people were open to questioning their viewpoints, learning
from
Fuse/Thinkstock
Youprobablyengageintruedialogue
moreoftenwithfriendsthan
coworkers.Whyisdialogue
importantinOD?
each other, and changing their minds. This type of inquiry-
based
discourse is known as dialogue. Dialogue is contrasted with

discussion as
its polar opposite and recommended by Tannen (1999) and
others
(Ellinor & Gerard, 1998; Isaacs, 1999; Senge et al., 1994) as an
alternative
communication means that is focused on inquiry and learning,
rather
than advocacy of a certain position.
Dialogue is rooted in the Greek words dia (meaning “through”
or “with
each other”) and logos(meaning “the word”) (Senge et al., 1994,
p. 353).
Together, dia logos means “through meaning.” It can be thought
of as
meaning that �lows through a group of people, where new
understandings and ideas emerge. Whereas discussion is
advocacy-
based, dialogue is inquiry based. The goal is not to �ind the
right answer,
but rather to examine multiple perspectives surrounding an
issue that
would not have been possible through individual re�lection or
discussion.
Dialogue is the collective engagement in re�lective practice,

discussed in
Chapter 1 of this book. Effective OD consultants hone their
dialogue skills
and use them across all interventions. Dialogue is an effective
team
process because it requires individuals to slow down and listen
to each
other. The AutoMark team learned this skill, and it helped them
converse
about complicated issues that crossed several people’s
functional
territory. Being skilled at dialogue will also help individuals
and teams
better apply other interventions.
WhyDoODConsultantsAdvocateDialogue?
Throughout the action research process, consultants help clients
adopt new behaviors, learn new ways of listening
and speaking, and cultivate new tools for bridging
understanding and dealing with disagreement. Because win–lose
conversation is so prevalent in U.S. culture, engaging in
dialogue is a major change for most organization members.
They need training in how to dialogue, ideally at the beginning
of the action research process so that it can serve the

team as it navigates the challenges of implementing change.
Dialogue helps consultants achieve multiple interventions such
as listening, problem solving, decision making,
strategic planning, talent management, and more. Speci�ic
bene�its of dialogue include
conversing in ways that help clients think and re�lect
differently,
asking good questions that advance the conversation,
using new knowledge created from the conversation,
engaging in questioning that informs better decision making and
action,
sharing broader and deeper feedback than a back-and-forth
discussion would yield,
steering members away from argumentation and toward deeper
inquiry that probes and challenges ideas,
shifting away from unconditional acceptance of dominant ideas,
and
creating an atmosphere that is tough on the issues and easy on
the people.
HowDoODConsultantsHelpFacilitateDialogue?
Dialogue is not easy. It requires new listening and conversing,

which for most people means changing lifelong bad
habits. There are several ways to use dialogue. Some guidelines
for achieving a dialogue that is inquiry-based
Situate participants in a barrier-free circle (e.g., no tables). This
con�iguration physically removes obstacles
and creates a more vulnerable space for the dialogue.
Figure8.1:Tuckman’sstagesofgroup
development
Tuckman’smodel,whichshowshowgroups
becomehighperforming,remainsoneofthe
best-knowngroupdevelopmentmodels.
Ask participants to suspend assumptions and certainties. This
means that everyone willingly questions their
own ideas and beliefs, as well as those of others.
Listen. This is more important than talking. There are several
ways an OD consultant can promote listening:
a. Use a “talking stick.” Provide a stick, ball, or some other
artifact that signals the right to speak. Participants

must have possession of the talking stick to speak.
b. Blindfold participants to remove nonverbal cues that people
use to dominate conversation.
c. Involve all participants in monitoring listening and
confronting bad listening behaviors such as
interrupting or signaling to speak before the speaker has
�inished.
Focus on inquiry and re�lection instead of decision and action.
Observe equality of members and give equal air time to
everyone who desires to speak.
Respect differences.
Suspend role identi�ication. This means that participants
cannot invoke their roles in the organization
hierarchy to make points or dominate (“As the vice president,
here is how I see it”). Nor can participants
look to people who have certain roles and ask for guidance (“As
our vice president, what do you think?”).
Strive for learning over results. This means that the dialogue is
a time to truly think about a problem. Once
new knowledge is created and the dialogue ends, insight can be
used to make decisions and act. Dialogue
helps slow down and evaluate decisions that are poorly thought
out.

Allow speakers to talk without interrupting. This is probably the
most challenging aspect of dialogue,
because everyone wants to be heard and advocate their
viewpoint.
Assure con�identiality among the group. What is said in a
dialogue stays in the dialogue.
TeamLifeCycle
There has been an enduring interest in group dyn-amics since
the advent of OD. Tuckman (1965) reviewed 55
articles dealing with stages of small group development and
isolated commonalties. From this research, he created a
model of stages that groups experience in order to become high
performing. He called this the grouporteamlife
cycle. Tuckman’s model laid the groundwork for understanding
and researching groups and remains one of the
best-known models of group development (see Figure 8.1). See
if you can identify these stages in a group you belong
to or apply them to the AutoMark vignette.
Later group development models have added a �ifth stage,
adjourning. In this stage the group disbands after it has moved
through the �irst four stages and met its goals.

Although it is a widely used model of group development,
Tuckman’s (1965) model is only one of several that have grown
out
of Kurt Lewin’s �ield theory. Lewin suggested that a group has
its
own psychological �ield or life space that consists of the group
and
all the variables in its environment and affects the group’s
behavior
(Lewin, 1947). Cummings and Worley (2009) proposed that
group
effectiveness could be judged based on the degree to which the
task
was accomplished, the level of satisfaction experienced by the
group members, and the viability of the group itself.
WhyDoODConsultantsPayAttentiontotheTeamLife
Cycle?
The team life cycle model serves multiple purposes. First, it
helps
the consultant observe where the group or team is in its
development and plan interventions accordingly. If a team is
just getting started, it is likely to be at the forming or

storming stages. Agenda-driven interventions are probably
warranted, and when the group gets stuck storming,
con�lict resolution can also be helpful.
Helping team members understand the life cycle helps them
recognize the challenges and con�licts that arise as
normal developmental processes. This in turn helps
depersonalize the dif�iculties associated with collective goal
pursuit and allows members to focus on moving to the next
stage.
When managers understand the team life cycle, they can help
the groups and teams they manage through more
effective decision making, problem solving, and con�lict
resolution.
HowDoODConsultantsHelpClientsLearnAbouttheTeamLifeCycl
e?
An effective way to teach the team life cycle is through an
experiential activity. A popular one is the Tinkertoy
activity:

1. Organize the team into groups of about four to six people
(depending on the size of the group).
2. Give each group a bag of Tinkertoys. They should have the
same number and type of pieces in each bag, or
give each group their own container.
3. Each group is given the following instructions:
a. Build the tallest freestanding tower with the materials
provided.
b. Groups have 20 minutes to plan and 40 seconds to build.
c. Pieces cannot be connected during planning (they will be
removed by the facilitator).
4. Facilitators serve as timekeepers.
5. All pieces are returned to the bag or container before
building.
6. Construction must stop when the time limit is reached.
7. Once the activity ends, debrief around the stages of the team
life cycle and help participants see how they
moved through the stages.
There are dozens of such activities available to help develop

teams. Find some resources you are comfortable using
and become familiar with them.
TeamStart-UporTransition
Helping a team get off to a positive and productive start
requires support from the beginning. It is common for
organizations to set high expectations for teams without giving
them the support or training needed to be high-
functioning; they then wonder why a team could not produce.
Effective team-based OD interventions set teams up
for success, whether they are new or already exist.
WhyDoODConsultantsFacilitateTeamStart-Up?
Giving teams a strong foundation at their formation helps them
build the capacity to do what is expected of them. At
a minimum, new or transitioning teams should be given a clear
goal and the necessary resources to accomplish it.
They also need training on the team life cycle and the tools for
moving through the stages. Providing the team with
training and a structure for effective meetings helps them make
good use of their time together. Topics to explore to
help the team get off on the right foot might include

the team life cycle;
a change model (such as Lewin’s unfreezing, moving, and
refreezing);
a problem-solving model;
meeting-effectiveness tips; and
team-building exercises.
saovadee/iStock/Thinkstock
HowDoODConsultantsDoTeamStart-Up?
Some key steps to follow include the following:
1. Establish a clear goal or charge for the team.
2. Create roles (e.g., facilitator, note taker, process observer).
3. Rotate roles.
4. Identify members’ communication expectations and needs.
5. Develop ground rules.
6. Create agendas for meetings.
7. Use tools to enhance meeting facilitation, such as decision-
making and consensus procedures.
8. Evaluate team process on an ongoing basis.

Which of these start-up strategies were in place for the
AutoMark vignette?
TeamBuilding
A common OD intervention is team building; that is, training
and other activities that help teams perform more
ef�iciently and effectively. This type of activity can also be
used for team start-up. McGregor (1960) de�ined effective
teams as those that
1. foster a relaxed and comfortable atmosphere,
2. clearly understand and accept their tasks,
3. are able to engage in dialogue and effective listening
behaviors,
4. are tough on the issues and easy on each other,
5. use consensus decision making, and
6. complete their actions.
WhyDoODConsultantsDoTeamBuilding?
Team-building OD interventions are centered on helping
members move
through the stages of group development (Tuckman, 1965) and
on

helping the team settle on task roles, goals, relationship
building, group
process, and activities to ensure smooth functioning. Team
building is
often accomplished through training and ongoing process
checks as the
team works on its activities. Speci�ically, team building can
facilitate
improved morale and leadership skills among team members,
the elimination of barriers that thwart creativity and
collaboration,
the de�inition of clear objectives and goals,
improved processes and procedures,
improved productivity and results,
targeting and eliminating team weaknesses, and
building up team strengths.
How did these strategies play out in the AutoMark vignette?
HowDoODConsultantsDoTeamBuilding?
A successful team is only as good as its members, so following
the team
start-up tips will get the team primed to build deeper

relationships. Burn
Teambuildingstrengthenstheteam’s
relationshipsandmembers’
understandingsofrolesand
responsibilities.
(2004) suggested that skilled team members
Develop norms and roles compatible with team success.
Build a group with norms of cooperation.
Make status assignments based on speci�ic-status
characteristics.
Minimize status differences.
Engage in constructive controversy.
Use constructive confrontation when group norms are violated.
Establish a supportive communication climate.
Recognize the bene�its of member diversity.
Create a superordinate (shared) group identity.
Use group goal setting.
Rely on explicit coordination and pre-planning.
Persuade members that their contributions are needed, noticed
and valued.

Tie valued individual outcomes to group outcomes.
Balance task and socioemotional leadership.
Choose discussion and decision-making procedures that prevent
domination by a few members and ensure that all relevant
information and perspectives are considered (p. 389).
Consultants need to monitor the team and adjust interventions
according to its needs.
TeamLearning
Teamlearning is distinct from team building in that it strives to
“transform conversational and collective thinking
skills, so that groups of people can reliably develop intelligence
and ability greater than the sum of individual
members’ talents” (Senge et al., 1994, p. 6). Team learning
emerged out of the learning organization movement in
the 1990s. In addition to team building, team learning engages
participants in the use of dialogical communication
to bring assumptions to the surface and to address issues faced
by the team, with the goal of collective learning.
WhyDoODConsultantsFacilitateTeamLearning?
Usually, team learning is sought by organizations that have

made a commitment to becoming a learning
organization. Team learning helps teams apply dialogue and
action learning to solving problems encountered in the
team dynamics, work projects, or change implementations.
Whereas team building improves courtesy, communication,
performance, and relationships, team learning is a
process of learning collectively. Team learning challenges
individuals intellectually, emotionally, socially, and
spiritually. It assumes self-mastery and self-knowledge while
challenging members to look outward to develop
shared alignment around goals and purpose.
HowDoODConsultantsFacilitateTeamLearning?
Team learning adds to the team-building efforts that have likely
taken place with the team. The consultant helps the
team focus on its re�lection in action and re�lection on action
through dialogue, action learning, and deliberate
efforts to identify learning as it occurs while the team goes
about its work, problem solving, and decision making.
To ensure that teams are prepared for learning, they need a clear
purpose or goal, effective facilitation, ground rules,
and dialogue skills. Usually, teams need to be trained on how to

build effective skills. A common focus is on re�lective
practice using action learning, assumption testing, and mistake
sharing. Members must be willing to take risks to
raise dif�icult issues, question structures that may inhibit group
or organization functioning, and enhance the
group’s knowledge base and learning as a whole.
The consultant can also help team members adopt certain
behaviors that help them be more effective team learners,
such as
listening to team members;
empathizing with other team members’ viewpoints;
taking interest in teammates by making eye contact, respecting
them, and learning about them;
watching nonverbal behavior (self and others);
resisting the temptation to interrupt teammates;
listening for implicit as well as explicit meaning in the team
conversation;
looking for omissions in both thought and action;
af�irming the speaker versus evaluating or criticizing;
paraphrasing to check for understanding; and

listening more than talking.
VirtualTeams
Organizations and people are increasingly working across the
globe. Separated by time and distance, interaction
must be mediated with technology, and people often work in
virtual teams. Although the art of face-to-face
facilitation is well developed, the art of virtual facilitation is in
its infancy. Technologies that facilitate virtual
teamwork include multiple Internet applications,
videoconferencing, teleconferencing, and webcams. Engaging
with
others virtually, with no opportunity to meet face-to-face,
requires cultural awareness and effective communication
skills.
WhyDoODConsultantsFacilitateVirtualTeams?
Because of the global workplace, there is a need to develop
capacity for effective virtual interactions, and this is
accomplished in the same way as traditional team building and
team learning. Consultants can help virtual
participants be better virtual citizens and help virtual
facilitators be effective in that context.

HowDoODConsultantsFacilitateVirtualTeams?
Consultants can coach individuals to be good virtual team
members. Being a good virtual team member involves the
following behaviors:
Be timely. If team members cannot be on time for the meeting,
they should let the organizer know in
advance. It is just as disrespectful to be virtually late as it is to
be physically late.
All members should plan to take necessary breaks prior to the
meeting. Virtual meetings tend to be ef�icient,
so it can waste everyone’s time if members step away from the
session for various reasons. When team
members must step away from the meeting, they should let the
attendees or organizer know, preferably via
an online chat feature.
Always be professional. Even though team members may be at
home or communicate solely via an audio
feed, they should assume the same behavior they would in a
boardroom. No one wants to hear what their
children, cats, or dogs are doing.
Do not do other work during the meeting. All team members’
input is valued, and the attendees are counting

on everyone’s thoughts and contributions.
Actively participate.
If participants are presenting slides or sharing other kinds of
information, they should practice prior to the
meeting.
Follow the same respectful behaviors you would in person:
1. Do not interrupt.
2. Listen intently.
3. Stay on topic.
Table 8.3 provides strategies for dealing with the challenges
that arise from facilitating a virtual team. It is based on
research by Mittleman, Briggs, and Nunamaker (2000).
Table8.3:Challengesandstrategiesforfacilitatingvirtualteams
Challenge Strategies
Following virtual meetings is dif�icult for
participants who may do unrelated tasks, arrive
late, leave early, or disappear for long periods.

Provide explicit preplanning instructions including
prework, timed agendas, and the meeting’s purpose
and objectives.
Encourage interest and make it personal. Contact
participants individually in advance of the meeting to
con�irm their participation and discuss their
interests.
Create a scorecard. Use an electronic meeting
platform to identify where you are in the agenda and
who is participating.
Distinguish transitions from one topic to another to
keep the team focused.
Clarify the intended outcome(s) for each agenda item
(discussion, decision, action, etc.).
Virtual teams receive minimal feedback on the
meeting’s progress and process.
The facilitator should periodically offer and solicit
feedback.
Engage in frequent process checks on the meeting
(“Are we on task?” “Mark, are you still with us?” “Is
there any concern about this course of action?”).
Invite feedback via the meeting platform, e-mail, or
online chat.

Participants forget who is attending the meeting. Use names
during the meeting. The facilitator can
use them or ask people to clarify their name before
they speak.
Provide frequent reminders of who is in the meeting
(or use a meeting platform that lists attendees).
Distribute short biographies and photos of attendees.
Virtual team building is challenging. Follow the best practices
for team building already
discussed in this chapter.
Ensure the team has a clear goal.
Meet face-to-face when possible, especially when the
team is forming.
Create breaks, particularly for long sessions, that
promote team bonding on nonwork topics like the
weather, interests, hobbies, and so forth.
Challenge Strategies
Technology is great when it works, but. . . Be patient and
assume people are on a learning curve

with their technology.
Have a backup plan.
Have technical support ready to assist if needed.
Have a plan for reconnecting if the technology must
be reestablished.
Introduce new technology on an as-needed basis.
Communicate effectively, virtually. Exchange dialogue and
conversation rather than
listen to lengthy one-way presentations.
Speak clearly and into the microphone when you
have the �loor.
Mute your sound when you are not speaking.
Making decisions can be more dif�icult virtually. Plan
decision-making procedures (consensus, vote,
etc.).
Conduct process checks to �ind out where people are
in the process.
TakeAway8.1:GrouporTeamProcessandDevelopment
Using the inquiry-based discourse of dialogue (instead of
discussion) promotes learning and
understanding among team members.

The team life cycle represents the various stages teams undergo
as they form and develop
procedures and working relationships. The stages are forming,
storming, norming, and
performing (and sometimes adjourning).
Team start-up or transition helps acclimate teams to new
members or new challenges by
establishing clear goals, providing training, creating support
structures (e.g., facilitation
guidelines, meeting structures, problem-solving procedures),
and evaluating progress.
Team building is the process of helping teams perform more
effectively and ef�iciently via
relationship-building and team-management procedures (e.g.,
clear roles and responsibilities).
Team learning attempts to harness the team’s knowledge and
use action learning to address
challenges and problems.
Virtual teams use technology to mediate their communication
and work; they are increasingly
common and important for organizations to compete and
accomplish in global markets.

TimRobbins/MintImagesRF/GettyImages
Promotingdiversityandinclusionhelpsan
organizationbuildastrongerworkforce
thatismoreequippedtoexcelinglobal
markets.
8.2DiversityandInclusionInterventions
The U.S. workforce is diverse and changing. There are more
women
employed than ever before, racial and ethnic minorities will
soon
surpass whites in numbers, and the workforce is aging.
Diversity
commonly refers to a heterogeneous group—one in which
members differ in gender, race, age, religion, or sexuality. A
more
useful de�inition of diversity for OD consultants is “those
individual
differences that are socially and historically signi�icant and
which
have resulted in differences in power and privilege inside as
well as
outside of organizations; namely race, gender, and sexuality”
(Thomas, 2005, p. 9).

Thomas (2005) identi�ies several challenges associated with
leading modern, diverse organizations. These include attempting
to
understand
the differences between how work used to be accomplished
and how it will change with an increasingly diverse
environment; and
the legal, ethical, and day-to-day issues that arise from
employing a more diverse workforce comprised of
immigrants, racial and ethnic minorities, women, older
workers, sexual minorities, and the disabled.
Thomas (2005) asserts that a goal for OD is “to maximize the
bene�icial aspects of diversity for organizations and for
individuals while minimizing and perhaps preventing any
negative challenges of that same diversity” (p. 3). She
further emphasizes that those trained in the organizational
sciences are uniquely quali�ied to address diversity
issues by monitoring selection and placement, training and
development, organization development, performance
measurement, and quality of work life. OD consultants can help
ensure that the dynamic complexity of diversity is
respected in policy development and workplace practices that

are fair, equitable, and sensitive.
OD consultants must be sensitive to diversity issues, regardless
of whether their interventions currently address an
issue related to diversity. Although this book discusses
diversity interventions under group-based OD, it is important
to note that such interventions may occur at any level and will
often be implemented across multiple levels
simultaneously.
CaseStudy:DiversityandInclusion
Over several decades, TechCo has built a reputation for its
commitment to recruiting and developing a
diverse workforce. But recently that reputation has slipped.
About 5 years ago, the company underwent a
top leadership transition. The new CEO dropped diversity and
inclusion from its strategic goals because, in
his words, “TechCo has already accomplished outstanding
diversity and the infrastructure exists to sustain
it.”
What the CEO did not anticipate was that TechCo’s competitors
would expand their efforts to become more
diverse and inclusive organizations. The top employees of

TechCo are now being avidly recruited by these
competitor organizations, and some begin to jump ship—
particularly women and people of color—
because they see more promising opportunities to work in
organizations that appear to value diversity
more than TechCo. Meanwhile, TechCo is falling behind in its
strategy and ability to do realistic succession
planning for future leadership. As management becomes less
diverse, so does its recruitment pool and
talent development.
Today TechCo’s top leadership is approximately 90% White and
male. Competing �irms have much higher
percentages of female, African American, Latino, and Asian
executives. Few TechCo employees participate
in af�inity groups (e.g., women leaders, LGBTQ support
groups, African American leaders, etc.), whereas its
competition has doubled these types of supports.
TechCo needs an intervention, and fast. Its lack of diversity at
the top of the organization and absence of a
plan to resolve the problem could spell long-term disaster in its

ability to recruit and retain the best people
and remain competitive in its markets.
1. What immediate steps can TechCo take to address its
problems with diversity and inclusion?
2. What mid- to long-term steps do you recommend TechCo take
to become a more diverse and
inclusive organization?
CulturalAwareness
A �irst step for group members to more competently deal with
diversity and inclusion is to gain culturalawareness,
which is becoming conscious of and appreciating the differences
between the characteristics of your own and other
cultures.
WhyDoODConsultantsPromoteCulturalAwareness?
Groups with low levels of cultural awareness will likely
experience more con�lict and less productivity than groups
that exhibit consciousness of and appreciation for other

cultures. Groups with low cultural awareness may be
candidates for interventions to increase their cultural learning.
These include the following:
Practicing re�lection, which can help group members examine
how their own culture differs from others.
Assessing values, which allows group members to compare what
they value with others and tie values to
cultural differences. For example, some cultures place a high
value on punctuality, whereas others do not.
The punctual culture may view lateness as rudeness without
considering cultural meanings of time.
Encouraging dialogue with people from different cultures.
Dialogue, as has been discussed, creates a format
for communication that builds inquiry and re�lection into the
exchange, making it an ideal way to learn
about other cultures.
Participating on diverse teams, which creates the opportunity to
focus on achieving tasks and problem
solving with people from different backgrounds.
Encouraging group members to share information about their
culture with others.
HowDoODConsultantsPromoteCulturalAwareness?

One way to measure group members’ cultural awareness is by
administering a cultural intelligence quotient (or CQ)
assessment, such as the one shown in Figure 8.2 (Earley & Ang,
2003). The assessment measures four distinct CQ
capabilities:
1. CQ drive (motivation): interest in and con�idence at
functioning effectively in culturally diverse settings;
2. CQ knowledge (cognition): knowledge of how cultures are
similar and different;
3. CQ strategy (metacognition): how someone makes sense of
culturally diverse experiences; and
4. CQ action (behavior): capability to adapt behavior to
different cultures (Livermore, 2010).
OD consultants can also roughly gauge CQ by observing people
while keeping in mind these four capabilities.
There are multiple cultural interventions; consultants should
build skill in this area via reading and additional
training or bring in experts in the area.

Figure8.2:Culturalintelligencescale—self-report
WhileconsultantscangaugeCQbyobserving,therearemoreformalm
ethodsofassessing
it,suchasthisself-reportscale.
Source:CulturalIntelligenceCenter.
Cross-CulturalDevelopment
Cross-cultural competence is what de�ines an employee who
manages international business operations. Such an
employee is often referred to as a global manager, international
manager, or global leader (Ramburuth & Welch,
2005). Educating people to engage cross-culturally involves
cross-cultural development. Preparing teams to
engage cross-culturally is cross-cultural team building. These
are similar interventions; that is, the distinctions
pertain more to the type of work group than the speci�ic skills
developed.
McLean (2006) lamented that much cross-cultural development
is inadequate because it focuses more on the do’s

and don’ts of traveling in certain places, versus building the
competency to productively engage cross-culturally,
appreciate difference, and resolve con�lict. Cross-cultural
development is often short on actual experiences that
build cultural competence.
TipsandWisdom
Refer to the U.S. Department of State’s website for useful
information relating to traveling and doing
business globally
(http://www.state.gov/misc/list/index.htm(http://www.state.gov/
misc/list/index.htm)
).
WhyDoConsultantsPromoteCross-CulturalDevelopment?
Cross-cultural development is important for a workforce that is
more culturally diverse and mobile than ever before.
Organizations bene�it in myriad ways from hiring diverse,
culturally savvy personnel who can relate to diverse work
groups, customers, and suppliers. Unfortunately, few companies

manage cross-cultural training well.
Organizations that send employees abroad to work take
signi�icant risks. First, it costs about 3 times an employee’s
annual salary to send her or him abroad. Given that 30% to 40%
of international assignments end prematurely,
often because the cultural adjustment fails, it is worthwhile to
help employees engage new cultures. Further, more
than half of expatriated executives do not remain with their
companies after an overseas assignment. In addition,
international joint ventures have poor success rates, making it
even more important to develop cultural
understanding.
In spite of the high failure rate of cultural ventures, fewer than
half of expatriated employees are given formalized
cross-cultural training. Not surprisingly, fewer than half are
also unable to manage cultural differences when they
are sent abroad. The employee’s family typically receives even
less assistance.
TipsandWisdom
Cross-cultural training resources from the U.S. Department of
State: a compilation of cultural training

program providers from around the globe. This list is useful
whether you are seeking a consultant or
seeking to �ind employers of consultants
(http://www.state.gov/m/fsi/tc/79756.htm
(http://www.state.gov/m/fsi/tc/79756.htm)).
HowDoODConsultantsFacilitateCross-CulturalDevelopment?
Cross-cultural development should emp-hasize key
competencies needed by global leaders and teams. These
include skills, traits, and knowledge across four dimensions
(Ramburuth & Welch, 2005):
1. Cultural sensitivity and awareness; this involves awareness of
how your own culture affects your behavior
and shapes your beliefs (Lane, Maznevski, Dietz, & DiStefano,
2012).
2. Knowledge of other cultures and countries, including their
norms, behaviors, cultural symbols, rituals, and
belief systems (Hofstede, 2001).
http://www.state.gov/misc/list/index.htm
http://www.state.gov/m/fsi/tc/79756.htm

3. Concrete business skills that help manage cultural
differences, including cross-cultural negotiating, cross-
cultural con�lict resolution, and cross-cultural teamwork
(Laughton & Ottewill, 2000).
4. Personal characteristics that support productive cross-cultural
interactions such as emotional intelligence,
psychological maturity, and the ability to manage cognitive
complexity (Sagha�i, 2001).
Other traits important to cross-cultural competence include
tolerance, persistence, �lexibility, self-esteem, self-
questioning, and openness to learning and growth (Cui & Awa,
1992; Rhinesmith, 1996).
TipsandWisdom
Games and simulations are a fun and effective way to introduce
issues of cultural awareness and
intercultural communications. The games and simulations on
this site were compiled by the Intercultural
Studies Project:
http://www.carla.umn.edu/culture/resources/exercises.html
(http://www.carla.umn.edu/culture/resources/exercises.html).

Effective cross-cultural development involves creating
experiences ahead of time in which participants can
experience some of the challenges and emotions that may arise
in an unfamiliar culture. Simply creating
opportunities for the employee to interact with people from
different cultures can also help. OD interventions that
can provide such experiences will promote more cross-cultural
exchange. Examples of effective cross-cultural
development include the following:
Engage in self-awareness re�lective activities such as the
Twenty Statements Test (see the assessment box
below).
Create simulations that “plunge students into a state of
uncertainty and confrontation, yet discovery and
excitement that evokes the sensation of culture shock”
(Ramburuth & Welch, 2005, p. 11). A popular cultural
simulation is the game Bafa Bafa.
Engage in multicultural teamwork.
Perform case studies.
Engage in immersion experiences or exchange programs.
Assessment:TheTwentyStatementsTest

The Twenty Statements Test (TST) (Kuhn & McPartland, 1954)
is a long-standing psychological and social
psychological assessment that asks participants to re�lect on
their sense of self by providing answers to 20
questions that ask the participant, “Who am I?” Answers usually
re�lect the various roles participants play
and give clues to their culture. The assessment is simple to
administer; an example is provided for you to
try (see Figure 8.3). Download an interactive version of this
assessment by clicking here
llation/book/AUBUS370.14.1/{pdfs}sec_8.2.pdf).
Figure8.3:TwentyStatementsTest
http://www.carla.umn.edu/culture/resources/exercises.html
Source:CulturalIntelligenceCenter.
1. Notice the words used to describe yourself. What did you
emphasize? What do you notice?
2. Did you include any of these typical descriptors?

a. Physical description (height, weight, skin color, eye color)
b. Social roles (student, spouse, employee, parent)
c. Personal traits (competitive, adventurous, quiet)
d. Existential statements (spirituality or values statements such
as “I believe in equality for all.”)
3. What did you learn about yourself ? Others?
4. How might this new knowledge assist you in cross-cultural
interactions?
TakeAway8.2:DiversityandInclusionInterventions
Building cultural awareness increases organization members’
consciousness of and appreciation
for cultural differences. Developing cultural awareness
promotes more effective group and team
processes.
Cross-cultural development provides participants with the
education and experience to effectively
navigate multicultural groups and teams and to travel abroad for
business.

JettaProductions/Iconica/GettyImages
Con�lictcanbeproductivewhenitis
steepedinideas.Whenitbecomes
personal,itcanbedestructiveandrequire
anintervention.
8.3Con�lictManagement
“A con�lict is a problem in which two or more people have a
difference of opinions, methods, goals, styles, values,
and so on” (Brounstein, 2001, p. 155). Con�lict exists in every
organization and is normal. Moreover, con�lict has a
positive side, since it stimulates new solutions and helps clarify
issues.
OD consultants may be called on to resolve con�lict between
individuals or groups. These con�licts usually involve
business concerns or working relationships. Often, OD
consultants become aware of con�lict while implementing an
intervention for another concern. Therefore, OD consultants
need to be aware of the symptoms of con�lict. These
include the following behaviors:

Ideas are attacked before they are completed.
Comments are made with vehemence.
Members belittle one another’s ideas or the ability of the group
or team.
Members accuse one another of not understanding.
Members distort one another’s ideas.
Members are impatient with one another.
Members stick to their own points rather than �inding common
goals or ground.
Members take sides.
Suggestions do not build on previous suggestions.
Little movement is made toward resolution.
We–they (win–lose) pressures and attitudes prevail.
Members provoke, attempt to control, and give advice.
OD consultants can help clients develop attitudes that are
conducive to resolving con�lict by cultivating
a mutual belief in the availability and desirability of �inding
a solution;
a recognition that con�lict is a natural part of relationships;
empathy for others’ views;
a commitment to cooperation, not competition;
realization that the process must gravitate from problem
identi�ication to solution;

methods to minimize the power and status differences that
elicit defensiveness and guarded communication;
a belief that the other party can compete, but opts to
cooperate;
an attitude of self-examination to assess whether you are
part of the problem or the solution;
awareness of the limitations of arguing;
ardent practice of dialogue; and
a belief that differences of opinion (not interpersonal strife)
are helpful.
Con�lict can be resolved by developing interpersonal skills,
team building, and teamwork. Often, those in con�lict
need to learn to recognize and value different perspectives,
build self-awareness of their biases, improve
communication skills, and devise solutions that reconcile the
con�licting interests (Burn, 2004). Defusing con�lict
can be accomplished through dialogue, trust-building activities,
negotiation, or third-party intervention (when a
neutral party attempts to resolve con�lict). This section
pro�iles con�lict resolution through confrontation meetings,
role negotiation and analysis, third-party intervention, and
appreciative inquiry.

ConfrontationMeetings
A gathering that aims to identify problems, set priorities and
targets, and begin working on identi�ied problems is
known as a confrontationmeeting (Beckhard, 1967).
Confrontation meetings can be used any time and are
especially useful when the organization is in stress and
communication problems characterize the relationship
between workers and top management.
WhyDoODConsultantsDoConfrontationMeetings?
Confrontation meetings allow timely intervention around a
problem or issue. The process seeks broad participation
from employees who represent the entire organization.
Confrontation meetings work best when management is
strongly committed to solving the problems that are
communicated and when participants are committed to �inding
a solution. Confrontation meetings are also used when
communication must be immediately improved, employee
morale needs a boost, the culture needs adjusting, relationships
are suffering, and solutions are needed.
Confrontation meetings provide top management with speci�ic

data regarding organization conditions and
recommended actions from employees. The process involves
multiple levels and gives top management the
opportunity to identify key priorities. The entire process
engages the organization in problem solving, decision
making, strategic planning, and committing to action.
HowDoODConsultantsFacilitateConfrontationMeetings?
Consultants facilitate confrontation meetings by gathering
relevant stakeholders. The goal of the meeting is to
identify problems about the work environment and the
organization’s effectiveness. The attendees are organized
into smaller groups that represent all of the organization’s
departments, but members who have a direct reporting
relationship should not be grouped together. These departmental
groups are tasked with candidly identifying
organizational problems. The ground rules emphasize that
neither individuals nor groups will be criticized for
raising issues. Usually groups are challenged to see who can
raise the most issues.
After the groups have generated issues or problems, they
reconvene and hear reports from each group. Next, issues
are consolidated and categorized. Participants are divided into

problem-solving groups; the composition of these
usually differs from the original problem-identi�ication groups,
depending on the issues raised. Each group ranks the
problems it has been assigned, creates action plans, and
determines an appropriate timetable for completing them.
Each group then periodically reports its list of priorities and
tactical plans of action to management as a follow-up to
the original meeting. The steps of a confrontation meeting are
presented in Table 8.4.
Table8.4:Confrontationmeetingsteps
Step Time Description
Climate setting 1 hour Management explains the confrontation
meeting purpose and
objectives and shares more background on the issue or problem.
Open dialogue is invited.
Step Time Description
Information

collection
1 hour The group is divided into smaller groups of six to eight
participants
representing functional areas as much as possible.
Managers and subordinates are separated.
Topics for information collection may include
1. concerns,
2. obstacles to progress,
3. demotivators in the culture,
4. problematic policies or procedures,
5. goals,
6. other topics as appropriate, and
7. key things that would improve the organization.
Information sharing 1 hour Each group appoints a reporter to
share its information, usually put on
a �lip chart or projected for everyone to see.
The consultant helps identify major categories of issues and
sorts them
into groups, with input from participants.
Priority setting and
group planning

1 hour + The entire group engages itself in a conversation about
the categories.
Individuals work to rank the categories in terms of priority.
Participants shift into their functional groups to engage in
planning,
including managers.
Each group is asked to
1. dialogue about the problems and issues raised,
2. identify how the issues impact the group, and
3. propose actions or solutions that the group is willing to
commit
to.
Organization action
plan
2 hours Participants return to a “group of the whole.”
Each functional unit reports its priorities, commitments, and
plans.
Top management is asked to react to this list and commit to
action
where needed.

Participating units also share how they will communicate the
results to
colleagues not attending the session.
Immediate follow-
up by top team
1 to 3
hours
Top management team convenes immediately after the
confrontation
meeting ends to plan how it will follow up.
Management shares its plan within a week.
Progress review Ongoing Progress on commitments is assessed
periodically as groups present to
the top management team.
Third-PartyIntervention
When individuals or groups are unable to resolve con�licts on
their own and enlist a neutral party to provide either
mediation or arbitration, they are engaged in third-party
intervention. Mediation is when a third party, after

learning about the con�lict, makes nonbinding
recommendations to the parties. Arbitration is similar to
mediation,
but the recommendations are binding. Mediation tends to be the
preferred type of third-party intervention in OD.
Organizations often train internal members to serve as
mediators, but mediators can also be external.
WhyDoODConsultantsDoThird-PartyIntervention?
Third-party intervention is warranted when a con�lict has
become personal and debilitating to the individuals in
con�lict and/or those around them, and the individuals are
unable or unwilling to engage in con�lict-resolution
activities themselves. Third-party intervention requires the
consent of the individuals embroiled in con�lict and is
usually sought by colleagues and/or managers who are
exasperated by the con�lict and the challenges it poses to the
work environment.
HowDoODConsultantsFacilitateThird-PartyIntervention?
Mediation is usually a 3-stage process:

Stage 1, or setting the stage, is when the mediator spells out
ground rules between the disputants and
gathers information about the con�lict.
Stage 2, problem solving, is when solutions are generated.
Stage 3, achieving a workable agreement, encourages the
disputants to settle the disagreement with a win–
win outcome (Burns, 2004).
If the con�lict escalates, the mediator may have to meet with
the parties separately.
Burns (2004) outlined the following steps for facilitating
mediation:
1. Initiate direct contact between disputants only if hostility is
low and common ground is high. When hostility
is high, direct contact may escalate the con�lict. Therefore it is
advisable to “caucus” with the two parties
separately to identify underlying interests and present the other
side’s position in a sympathetic way.
2. Teach the disputants constructive communication skills and
negotiation concepts so that direct
communication and resolution become possible.

3. Situate the negotiations at a neutral site to prevent one side
from gaining a tactical advantage, and to
enhance mediator control.
4. Promote trust between the parties by emphasizing
overlapping interests and by encouraging both to make
small but irrevocable concessions to show they are committed to
the conciliatory process.
5. To cool off parties’ emotions, listen carefully and
sympathetically to participants’ expressions of emotions
such as anger and resentment, holding caucuses with each side.
6. Use the parties’ underlying interests to come up with
integrative solutions.
7. Emphasize superordinate goals (common objectives) to
promote cooperation.
8. Frame agreements in such a way that each side can make
concessions without appearing weak.
9. To create a sense that agreement is possible, arrange the
issues so that participants can work on easier
issues �irst.
10. After signi�icant progress has been made toward integrative

solution, impose a deadline by which a �inal
agreement should be reached. Do not impose a deadline too
early because time pressure makes joint
problem solving less likely. (p. 208)
AppreciativeInquiry
As discussed in Chapter 2, appreciative inquiry (AI) was
originated by Cooperrider, Barrett, and Srivastva (1995). It
is an OD process that focuses on renewal, change, and
performance. It can be used to resolve con�lict or engage in
strategic planning or visioning. AI follows steps similar to the
action research model. The major departure is that
rather than analyzing the organization’s strengths and
weaknesses, AI focuses only on the positive aspects of the
issue or culture. AI frames questions and future visioning
positively, seeking to identify the basic goodness in a
person, a situation, or an organization with the result of
enhancing the organization’s capacity for collaboration and
change.
WhyDoODConsultantsDoAppreciativeInquiry?

Appreciative inquiry can be used for several reasons. The
organization may be in a rut and have dif�iculty
envisioning a solution or desired future. Because AI reverses
the human tendency to focus on the negative, it can
help organizations see issues in a new light. It may also help
shift the organization from a de�iciency mindset to a
more opportunistic one.
HowDoODConsultantsFacilitateAppreciativeInquiry?
AI uses a 4-stage process that focuses on the following:
1. Discover: identify organizational processes that work well.
2. Dream: envision processes that would work well in the
future.
3. Design: plan and prioritize processes that would work well.
4. Destiny (or Deliver): implement (execute) the proposed
design.
AI’s precept is to build on what works instead of trying to �ix
what does not. McLean (2006) suggests that anecdotal
research shows it may be bene�icial, particularly for
organizations with a recent trauma such as a hostile takeover or
downsizing. Although AI may be useful in bolstering morale

and understanding an organization’s strengths, it may
also sti�le dialogue on dif�icult issues and reinforce existing
power arrangements and further privileging
management.
TakeAway8.3:Con�lictManagement
Confrontation meetings can be effective during times of
organization stress and change when there
is potential for miscommunication between employees and
management. Participants identify
issues, and management responds to them.
Third-party intervention or mediation features an objective,
neutral party that hears both sides of
the con�lict and makes nonbinding recommendations to the
feuding parties.
Appreciative inquiry can be used to resolve con�lict by shifting
group members away from
negatives, problems, and de�iciencies and toward opportunity,
positive attributes, and possibilities.
8.4ProblemSolvingandDecisionMaking

Another group of interventions are used to help organizations
solve problems and make decisions in ways that
promote continuous improvement and innovation. Pro�iled
interventions include total quality management, quality
of work life, problem-solving models, and Work-Out.
TotalQualityManagement
Total quality management (TQM) is a comprehensive approach
to employee involvement that aims to create high-
quality goods and services that exceed customer expectations
through a process of continuous improvement. This
method is therefore also known as
continuousprocessimprovement. TQM programs involve
employees in activities
focused on quality improvement. These usually are accompanied
by extensive training, information sharing, shared
decision making, and performance-based rewards systems.
Engineers W. Edwards Deming (1982) and Joseph Juran (1974)
introduced TQM to the US during World War II.
Their ideas had more traction in Japan, and it was not until the
1980s that TQM received serious attention in the US.
TQM follows a plan, do, check, act cycle (Deming, 1982, 1986)
that is similar to the phases of action research.

WhyDoODConsultantsDoTQM?
TQM helps organizations improve quality and minimize costs. It
also helps reduce errors and defects in products
and services. TQM promotes employee involvement because it
develops quality-improvement teams. It also helps
participants
learn to use problem-solving models;
develop new skills in interpersonal communications, leadership,
and facilitation; and
incorporate best practices that meet or exceed expectations.
This, in turn, translates into higher competitiveness,
productivity, cost reduction, market share, and job security.
HowDoODConsultantsDoTQM?
Several steps have been proposed for TQM implementation.
Table 8.5 offers examples from well-known quality
gurus Deming (1986), Juran (1974), and Crosby (1979), all
prominent leaders in the quality movement.
Table8.5:Qualitygurus’points

Deming Juran Crosby
Deming Juran Crosby
1. Create constancy of
purpose.
2. Adopt the new philosophy
of quality.
3. Cease dependence on mass
inspection.
4. End practice of choosing
suppliers based on cost.
5. Identify problems and
continuously improve
system.
6. Adopt modern training and
development methods on

the job.
7. Change focus from quantity
to quality.
8. Drive out fear.
9. Break down barriers
between departments.
10. Stop requesting increased
productivity without
providing methods to
achieve it.
11. Eliminate standards and
quotas.
12. Remove barriers to pride of
workmanship.
13. Vigorously educate and
retrain.
14. Create enabling

management.
1. Build awareness of
opportunities to improve.
2. Set goals for improvement.
3. Organize to reach goals.
4. Provide training.
5. Carry out projects leading to
problem solving.
6. Report progress.
7. Give recognition.
8. Communicate results.
9. Keep score.
10. Keep momentum strong for
continuous quality
improvement.
1. Management commitment.
2. Quality-improvement
teams.
3. Quality measurements.

4. Cost of quality.
5. Quality awareness.
6. Corrective action.
7. Zero defects planning.
8. Supervisor training and
development.
9. Zero defects day.
10. Goal setting.
11. Error cause removal.
12. Recognition.
13. Quality councils.
14. Do it all over again.
Deming (1986) also identi�ied “seven deadly sins” that
organizations should avoid if they are seeking TQM:
1. lack of constancy of purpose;
2. emphasizing short-term pro�its and immediate dividends;
3. evaluation of performance, merit rating, or annual review;
4. mobility of top management;
5. running a company only on visible �igures;
6. excessive medical costs; and
7. excessive costs of warranty.

TQM initiatives require long-term senior management
commitment, member training in quality methods, creating
quality-improvement projects, measuring progress, and
rewarding accomplishments.
QualityofWorkLifePrograms
Quality of work life (QWL) programs are also known as
employee involvement programs. QWL emerged as a
reaction to the workplace’s poor quality-of-life conditions. This
concept has evolved over time into participative
management programs. Four key elements are generally
regarded as important for effective employee involvement
or QWL:
1. Power—when employees have authority to make work-related
decisions. This is also referred to as
“empowerment.”
2. Information—when employees have timely access to relevant
information to foster decision making.

3. Knowledge and skills—when employees are given the proper
training and skills to effectively function.
4. Rewards—when employees are recognized for results.
QWL programs yield improved communication, coordination,
motivation, capability, and productivity.
WhyDoODConsultantsDoQWL?
QWL interventions seek to develop organization climates that
are conducive to healthy workplaces; that is,
workplaces that maintain a comfortable balance between life
and work for employees. QWL initiatives actively
involve employees in shaping organization life. There are at
least four principles of QWL that serve as a rationale for
doing it (Herrick & Maccoby, 1975):
1. Security: the principle of humanism, which undergirds OD,
implies a workplace free from anxiety, fear, or
loss of employment. Additionally, workers’ health and safety
are protected.
2. Equity: an organization characterized by fairness and justice,
including pro�it sharing.
3. Individuality: honoring the uniqueness of employees and

encouraging them to develop to their full potential
and competence.
4. Democracy: valuing broadly shared authority and
responsibility among employees, including decision
making and problem solving.
HowDoODConsultantsDoQWL?
Lawler (1982) identi�ied several characteristics of participative
systems such as QWL or employee involvement:
The programs depend on participative organization systems that
have a �lat, lean, team-based organization
structure that is designed around participative structures and
decision making.
The programs often have self-managing teams.
Training is heavily emphasized, including peer training,
economic education, and interpersonal skills.
Information is transparently shared via open job postings,
decentralized team management, participative
goal setting, and open-door policies.
The reward system is open, skill-based, and egalitarian, often
incorporating gainsharing or shared

ownership of the enterprise, �lexible bene�its, and an all-
salaried workforce.
Selection of coworkers is an open process that seeks team input.
It is centered on hiring right-�it employees
by giving them a realistic preview of the job and seeking out
employees who will contribute to the
organization’s participative nature.
The organization is safe and pleasant and the personnel policies
transparent and egalitarian.
Organizations implementing high-involvement programs seek to
improve employee attraction and
retention, motivation, productivity, and employee well-being
and satisfaction (Cummings & Worley, 2009).
Problem-SolvingModels
Most groups and teams do not function for long before they
encounter a problem to solve. Without any knowledge of
team process or steps to resolve issues, teams may �lounder
and fail to achieve results. Applying a problem-solving
model helps teams stay focused and on task.
WhyDoODConsultantsDoProblemSolving?

Problemsolving is warranted when the issue is complex, has
implications for numerous stakeholders, and has is no
de�initive solution. For example, many American communities
struggle with developing safe, walkable, bikable
routes that also allow vehicular traf�ic. There are many options
and much disagreement about what the best
solution is. This type of complicated issue that has multiple
solutions is a perfect candidate for a problem-solving
intervention.
Problem solving is also advisable when information from
multiple sources is required to make an informed decision
about appropriate courses of action, especially when experts
have highly biased views on what makes the most
sense. Regarding the safe routes issue again, pedestrians,
cyclists, and motorists all have different views on what to
do. Expert community developers and road scientists would also
take different approaches.
Problem solving as in intervention has both advantages and
disadvantages, as noted in Table 8.6.
Table8.6:DisadvantagesandadvantagesofproblemsolvingasanODi
ntervention

Disadvantages Advantages
Competing interests that can escalate into
unproductive con�lict.
Unwillingness to listen to differing viewpoints.
Conformity or tendency for individuals to try to
reach a consensus before all options have been
effectively vetted and because they want to
avoid con�lict.
Lack of objective facilitation. Problem-solving
groups require a leader who can provide
balanced, neutral guidance to the direction and
content of the discussion.
Time constraints. Effective problem solving
takes more time than arbitrary decisions
reached by individuals. Often the group loses
patience and seeks the option that allows the
process to �inish as quickly as possible.
Diverse input based on different experience,
knowledge, views, and values. This yields a
larger volume of potential ideas and solutions.
Cross-fertilization of ideas between members
of the group.

Reduced bias due to a collective responsibility
for acting on the problem and challenges from
group members to avoid prejudice.
Increased risk taking due to the shared
responsibility in the outcome.
Higher commitment based on a “we’re all in
this together” mindset where the group has
valued individual and collective contributions
to the process.
Improved communication around potential
solutions, con�licts, and decisions.
Better solutions that use the critical thinking
and broad thinking of the group.
HowDoODConsultantsDoProblemSolving?
High-performing teams, as well as TQM and QWL processes,
usually incorporate problem-solving models that follow
a series of steps, such as:
1. Identify the problem.
2. Get speci�ic. De�ine the following:
a. Nature of the problem—what exactly do we mean by “the
problem”?

b. Cause—why does the situation exist? Why is it occurring?
c. Scope—how widespread is the problem? To what extent does
it exist? Who and what does it affect? Is it
large or small?
d. Severity—”How bad is it?”
e. Is it a regular or an occasional event?
3. Diagnose the problem (this is where the root cause is
determined. Previous steps allow us to make an
accurate diagnosis).
4. Set objectives for solving the problem.
5. Identify potential constraints on problem solving.
6. Develop a plan for overcoming constraints and solving the
problem.
7. Evaluate the plan.
8. Implement the plan.
9. Monitor and evaluate the plan after implementation.
A formal and intensive method of engaging in team problem
solving is a Work-Out. Also referred to as a town
meeting or step-level meeting, a Work-Out involves

considerable planning. The following tasks need to be
completed
in advance:
Identify the facilitator(s).
Select a problem for the group to work on.
Secure management support.
Identify potential participants.
Prepare participants for what to expect.
Select and prepare the site.
The event itself proceeds as follows:
1. A group of employees and other appropriate stakeholders
convenes with their manager at an off-site
location.
2. The manager charges the group with solving a problem or set
of problems shared by the group that
ultimately falls under the manager’s responsibility.
3. The manager leaves and the group spends 2 or 3 days
working on devising solutions to the problems under
the guidance of skilled outside facilitators or consultants.

4. At the conclusion of the meeting, the manager returns, along
with her or his boss, to learn the group’s
recommendations.
5. The manager has a choice of three responses to each
recommendation:
a. “Yes.”
b. “No.”
c. “I have to consider it more” (in which case the manager
clari�ies what must be considered and how and
when the decision will be made).
6. The process is strongly supported by management. Resistance
to the process or outcome is not tolerated
and is considered a career-limiting move.
WhoInventedThat?Work-Out
Work-Out was developed at General Electric during the late
1980s as an intensive approach to team
problem solving (Ashkenas & Jick, 1992; Cosco, 1994; Tichy &
Charan, 1989). Work-Out played a key role
in the company’s notable performance over the past decade and
has been implemented in many other

organizations. Dave Ulrich, Steve Kerr, and Ron Ashkenas
created Work-Out. You can read more about the
process in their book:
Ulrich, D., Kerr, S., & Ashkenas, R. (2002). TheGEWork-
Out:HowtoImplementGE’sRevolutionaryMethod
forBustingBureaucracy&AttackingOrganizationalProblems—
Fast!New York: McGraw Hill.
Work-Out is a useful intervention because it reinforces an
existing or desired culture of fast problem
solving, broad employee involvement, employee empowerment,
dialogue across organization levels,
accountability for solutions and results, and continuous
improvement. Doing a Work-Out is not cheap,
given that it requires external facilitation and a group of
employees to go off-site for a few days. However, it
signals to the organization that there is a commitment to invest
resources in seeking employee input and
solving problems in a timely fashion.
TakeAway8.4:ProblemSolvingandDecisionMaking

Total quality management (TQM) uses a process of continuous
improvement to solve problems,
make decisions, and function in ways that yield high-performing
teams, products, and processes.
Quality of work life (QWL) programs seek to involve and
empower teams to make decisions and
problem solve in ways that enhance the workplace and its
productivity.
Problem-solving models provide steps for groups and teams to
follow as they attack challenges
such as mistakes, errors, defects, or interpersonal con�lict.
SummaryandResources
ChapterSummary
Using the inquiry-based discourse of dialogue (instead of
discussion) promotes learning and understanding
among team members.
The team life cycle represents the various stages teams undergo
as they form and develop procedures and
working relationships. The stages are forming, storming,
norming, and performing (and sometimes

adjourning).
Team start-up or transition helps acclimate teams to new
members or new challenges by establishing clear
goals, providing training, creating support structures (e.g.,
facilitation guidelines, meeting structures,
problem-solving procedures), and evaluating progress.
Team building is the process of helping teams perform more
effectively and ef�iciently via relationship-
building and team-management procedures (e.g., clear roles and
responsibilities).
Team learning attempts to harness the team’s knowledge and
use action learning to address challenges and
problems.
Virtual teams use technology to mediate their communication
and work; they are increasingly common and
important for organizations to compete and accomplish in global
markets.
Building cultural awareness increases organization members’
consciousness of and appreciation for cultural
differences. Developing cultural awareness promotes more
effective group and team processes.
Cross-cultural development provides participants with the

education and experience to effectively navigate
multicultural groups and teams and to travel abroad for
business.
Third-party intervention or mediation features an objective,
neutral party that hears both sides of the
con�lict and makes nonbinding recommendations to the feuding
parties.
Appreciative inquiry can be used to resolve con�lict by shifting
group members away from negatives,
problems, and de�iciencies and toward opportunity, positive
attributes, and possibilities.
Total quality management (TQM) uses a process of continuous
improvement to solve problems, make
decision, and function in ways that yield high-performing
teams, products, and processes.
Quality of work life (QWL) programs seek to involve and
empower teams to make decisions and problem
solve in ways that enhance the workplace and its productivity.
Problem-solving models provide steps for groups and teams to
follow as they attack challenges such as
mistakes, errors, defects, or interpersonal con�lict.
1. Re�lect on a team you belong to and see if you can pinpoint
Tuckman’s (1965) stages of group development

(forming, storming, norming, and performing).
2. Think of a group (versus a team) to which you belong. See
how many of the characteristics of groups versus
teams �it your experience.
3. Re�lect on your own cultural identity and awareness and
think about how it affects the groups and teams to
which you belong.
4. Think of a con�lict you are currently experiencing and
characterize it based on the information presented in
the chapter.
1. Practice dialogue in your conversations for 1 day and jot
down your experiences. What did you notice? What
did you learn? What was challenging?
2. Pick �ive tips from the virtual teams section and apply them
the next time you have a virtual meeting. What
was the impact of changing your behavior?
3. Take the cultural intelligence quotient. What are your

strengths? What are your opportunities to learn?
4. Take the Twenty Statements Test with a family member or
friend and follow the debrie�ing questions listed
in the chapter.
5. Identify the problem-solving and decision-making tools you
have used.
6. Practice appreciative inquiry on a problem you are
experiencing.
7. Identify a problem you want to resolve and follow the
problem-solving steps presented in this chapter.
AdditionalResources
Media
Tuckman’sStagesofTeamDevelopment
https://www.youtube.com/watch?v=P_HZd5rAF6g(https://www.
youtube.com/watch?v=P_HZd5rAF6g)
Con�lictResolution
https://www.youtube.com/watch?v=KY5TWVz5ZDU(https://ww
w.youtube.com/watch?v=KY5TWVz5ZDU)

https://www.youtube.com/watch?v=P_HZd5rAF6g
https://www.youtube.com/watch?v=KY5TWVz5ZDU
Problem-SolvingStrategies
https://www.youtube.com/watch?v=4U04TbCR28g(https://www.
youtube.com/watch?v=4U04TbCR28g)
WebLinks
GrouporTeamProcessandDevelopment
Infed, which provides a space for people to explore education,
learning, and social action.
http://infed.org/mobi/bruce-w-tuckman-forming-storming-
norming-and-performing-in -groups
(http://infed.org/mobi/bruce-w-tuckman-forming-storming-
norming-and-performing-in-groups)
Research Center for Group Dynamics, whose mission is to
advance the understanding of human behavior in social
contexts.

http://www.rcgd.isr.umich.edu(http://www.rcgd.isr.umich.edu)
DiversityandInclusion
Skills USA Diversity and Inclusion, a partnership of students,
teachers, and industry leaders that work together to
ensure America has a skilled workforce.
http://www.skillsusa.org/about/inclusion.shtml(http://www.skill
susa.org/about/inclusion.shtml)
Con�lictManagement
U.S. Institute of Peace Con�lict Styles Assessment, provided
by the independent, nonpartisan con�lict-management
center created by Congress in 1984 to prevent, mitigate, and
resolve international con�lict without resorting to
violence.
http://www.buildingpeace.org/act-build-peace/learn/con�lict-
styles (http://www.buildingpeace.org/act-build-
peace/learn/con�lict-styles)
Appreciative Inquiry Commons, a worldwide portal devoted to
sharing academic resources and practical tools on

appreciative inquiry.
http://appreciativeinquiry.case.edu(http://appreciativeinquiry.ca
se.edu)
ProblemSolvingandDecisionMaking
American Society for Quality, which provides the quality
community with training, professional certi�ications, and
knowledge to a vast network of members of the global quality
community.
http://www.asq.org(http://www.asq.org)
Association for Quality and Participation, which provides
learning and recognition opportunities to help people,
teams, and organizations achieve performance excellence.
http://www.aqp.org(http://www.aqp.org)
American Productivity and Quality Center, a member-based
nonpro�it and a leading proponent of business
benchmarking, best practices, and knowledge management
research.

http://www.apqc.org(http://www.apqc.org)
https://www.youtube.com/watch?v=4U04TbCR28g
http://infed.org/mobi/bruce-w-tuckman-forming-storming-
norming-and-performing-in-groups
http://www.rcgd.isr.umich.edu/
http://www.skillsusa.org/about/inclusion.shtml
http://www.buildingpeace.org/act-build-peace/learn/conflict-
styles
http://appreciativeinquiry.case.edu/
http://www.asq.org/
http://www.aqp.org/
http://www.apqc.org/
International Society of Six Sigma Professionals, which
exclusively promotes the interests of Six Sigma professionals.
http://www.isssp.com(http://www.isssp.com)
Memory Jogger resources from Goal/QPC
(http://www.goalqpc.com(http://www.goalqpc.com)) such as:
Brassard, M.
(1989).TheMemoryJoggerPlus+™:FeaturingtheSevenManageme

ntandPlanningTools.Methuen, MA:
Goal/QPC.
Brassard, M., & Ritter, D.
(1994).TheMemoryJogger™II:APocketGuideofToolsforContinu
ousImprovement and
EffectivePlanning.Salem, NH: Goal/QPC.
KeyTerms
arbitration
When a third party hears a con�lict and makes a binding
resolution.
con�lict
When two or more people have a difference of opinions,
methods, goals, styles, or values.
confrontationmeeting
A gathering that aims to identify problems, set priorities and
targets, and begin working on identi�ied problems.
cross-culturaldevelopment
Education aimed at helping individuals and teams engage with
increasingly diverse, cross-cultural groups and

build capacity for inclusion.
culturalawareness
Competence in dealing with diversity and inclusion in
organizations.
diversity
The increasingly multicultural and varied composition of the
workforce.
group
Three or more people bound by common perceptions,
motivations, goals, or organization membership.
grouporteamlifecycle
Stages of development that groups pass through to become high
performing: forming, storming, norming, and
performing.
mediation
When a third party hears a con�lict and makes a nonbinding
resolution.
problemsolving
De�ined steps to work in the process of addressing issues, from

problem identi�ication to resolution.
team
Three or more individuals working together toward a common
goal.
teamlearning
A process that builds a team’s capacity to create and share new
knowledge in a way that bene�its the organization.
third-partyintervention
When individuals or groups cannot resolve problems on their
own and involve a mediator or arbitrator to provide
neutral assistance.
http://www.isssp.com/
http://www.goalqpc.com/
virtualteams
Teams that function through computer-mediated communication
across different geographical and time zones.
Work-Out
An intensive approach to team problem solving.

9 Organization-Level Interventions
JohnLund/BlendImages/GettyImages
LearningObjectives
Discuss the role of vision, mission, and values in driving
organization-level change.
Describe key activities that facilitate strategic planning, such as
environmental scanning, SWOT
analysis, SMART goals, and scenario planning.
Of the various organization designs, identify those that best
facilitate the organization’s mission
and those that need to be reorganized or restructured.
Explain how learning can be used strategically, such as by
capturing organization learning and
developing a strategic learning organization.

Explore how culture in�luences organizations and can be
changed through interventions, including
diversity and inclusion initiatives.
Describe key talent management interventions, such as talent
management strategy and succession
planning.
Examine the role of large-scale interactive events for
organization change.
Anonpro�ithealthcareorganizationhadbeenstrugglingtokeepitsdo
orsopen.Whentheregion’slargestemployer
wentoutofbusiness,thesizeandneedsofthepopulationservedbytheo
rganizationrosesigni�icantly;itwasbecoming
increasinglydif�iculttoprovideservicestoclients.Theexecutive
director, Jane, was relatively new and decided the
organizationneededtoimproveitsabilitytoraisefunds.Janecontract
edwithanODconsultant,Jeff,toaddressthe
issue.
JefftookJaneandtheorganizationthroughtheactionresearchprocess

todiscovertherootcauseoftheproblem.He
beganbycollectingdata.Hereviewedtheorganization’swebsiteandb
rochuresandinterviewedemployees,donors,
andclients.Afteranalyzingthedata,heconcludedthattheorganizatio
nwasnotclearlycommunicatingitsmission
andserviceswellenoughandthatitlackedastrategicplan.Jeffalsosus
pectedthattheorganizationdesignwasnot
conducivetocarryingoutitswork.
JeffandJanebegantoaddressthisproblembyholdingaretreat.During
theretreat,boardmembersandstaffengaged
innumerousexercisestoexpress,clarify,andrevisetheirmission,visi
on,andvaluesstatements.Forexample,theyspent
timeidentifyingtheorganization’sstrengths,weaknesses,opportuni
ties,and threats over the short, mid-, and long
term.Theyimaginedvariousscenariosthatwouldcreateverydifferen
toutcomesfortheorganization,suchaschanges
in health care coverage, escalating expenses, a new employer
moving into town, future company closures, and an
electronicmedicalrecord.
Immediatelyfollowingtheretreat,theorganizationupdateditswebsit
e,letterhead,andbrochurestore�lectitsmore
concisemission,vision,andvalues.JeffandJanealsoworkedwiththe
boardondevelopinga5-yearstrategicplanthat

includedmoreaggressivecommunicationtopotentialdonors,increas
edfund-raisingefforts,andenhanceddiversityof
bothitsboardmembersanddonorbase.
Partofthestrategicplan included reorganizing the nonpro�it
around its programs to more readily respond to its
distinctstakeholdergroups,suchaspatientsandinsurancecompanies
.Thereorganizationwasprecededbyalarge-
scaleeventthatbroughttogetheremployees,patients,otherhealthcar
eproviders,boardmembers,and other local
nonpro�itsthatworkedcloselywiththeorganizationtoplanforthefut
ureandhowbesttomeetitsneeds.Eachofthese
stepswillbeilluminatedinthefollowingsections.
Organization-level OD interventions tend to be more
comprehensive and long term than individual and group
interventions. Their goal is to help the organization set
direction, determine strategy, solicit feedback, facilitate
learning, manage knowledge, change the culture, value
diversity, develop the workforce, and manage day-to-day
activities. Although the list of potential interventions is endless,
this chapter introduces the range and variety of
interventionsthataretypicallyusedinOD.Thesecanbecategorizedin
toseven areas, including mission, vision, or
valuesdevelopment;strategicplanning;organizationdesign;learnin

ginfrastructure;culture;talentmanagement;and
large-scale interactive events (see Table 9.1). The �irst of these
is the development of mission, vision, and values
statements.
Table9.1:CategoriesofindividualODintervention
Mission,vision,
andvalues
development
Strategic
planning
Organization
design
Learning
infrastructure
Culture Talent
management
Large-
scale

interactive
events
Mission,vision,
andvalues
development
Strategic
planning
Organization
design
Learning
infrastructure
Culture Talent
management
Large-
scale
interactive
events

Mission Environmental
scanning
Organization
structure
Organization
learning
Culture
change
Talent
management
strategy
Interactive
strategic
planning
Vision SWOT analysis Reorganization Learning
organization
Diversity

and
inclusion
Succession
planning
Future
search
Values SMART goals
Scenario
planning
Conference
model
redesign
Open space
technology
SimonDawson/BloombergviaGettyImages
Anorganization’smissionisits

reasonforbeing.Itisusuallybased
onacentralproductorservice.
ShownhereiseBay’smission
statement.
9.1Mission,Vision,andValuesDevelopment
If an organization is to communicate its core beliefs to the
world, it must
have a clear and concise statement of its mission, vision, and
values.
Start-up, merged, or signi�icantly reorgan-ized organizations
need to
develop or revise these statements, and even established
organizations
should revisit them periodically. OD consultants often get
involved in
these efforts. Take a moment to jot down the vision, mission,
and values
of your organization. Can you do it from memory? If not, you
are in good
company, since most employees and other organization
stakeholders
cannot; this signals that these statements are probably in need
of some

revision.
Mission
A missionstatement explains why an organization exists. It
identi�ies
the organization’s target audience and the product or service it
provides
in a way that expresses the organization’s core values. Good
mission
statements are easy to remember and describe.
WhyDoODConsultantsAdvocateMissionStatements?
Mission statements create boundaries of service, motivate staff,
and help evaluate whether the organization has met
its goals. They succinctly communicate the organization’s
purpose to both the internal and external world. They can
also help focus strategic planning, product development, and
innovation.
HowDoODConsultantsHelpOrganizationsCreateMissionStateme
nts?
There are three parts of a good mission statement: the audience,

the product or service, and the evaluative
measures. Consider a social media company’s mission statement
to evaluate these elements:
“TechConnect’smissionistogivepeoplethepowertocommunicatea
ndconnectworldwide.”
Audience: The audience de�ines whom the organization serves.
TechConnect is boundaryless to people who
have access to a device and an Internet connection.
TechConnect’s audience is “people . . . worldwide,” as
noted in the statement.
Productorservice: The product or service identi�ies what the
organization provides. TechConnect’s service
is social networking, with the aim of openly connecting the
world.
Evaluativemeasures: Evaluative measures are the standards by
which the organization can be judged in
terms of whether it is achieving its mission. TechConnect’s
mission is to connect people throughout the
world. How well it is doing that might be measured by the
number of users, ad revenue, or site traf�ic.
Mission statements should be short, succinct, and easy to
remember, like the ones listed earlier in this section.

Management guru Peter Drucker was known to have advocated
mission statements that were no longer than eight
words and could easily �it on a T-shirt. In his opinion, anything
larger was simply too long (Wartzman, 2012).
Chances are, if you cannot state an organization’s mission, it
may not be a good statement.
You can use Figure 9.1 to write your own mission statement or
evaluate your organization’s mission according to
how well it articulates audience, product or service, and
evaluative measures.
Figure9.1:Missionstatementassessmentworksheet
Usethisworksheettowriteorevaluateyourorganization’smissionsta
tement.Downloadan
interactiveversionofthisassessmentbyclickinghere
llation/book/AUBUS370.14.1/{pdfs}�ig_9.1.pdf)
.
Jeff and Jane, from the opening vignette, planned a retreat with
staff and the board, who used their time away to

craft a mission statement that could be communicated more
succinctly. A list of exemplary mission statements can
be found at http://topnonpro�its.com/mission-
statements(http://topnonpro�its.com/mission-statements).
Vision
A vision statement articulates an organization’s desired end
state. When the organization is able to articulate its
image of a desired future—that is, where it wants to go and
what it will be like once it gets there—it has clear vision
(Senge, Kleiner, Roberts, Ross, & Smith, 1994). Although
leaders are responsible for formulating vision, Senge and
colleagues (1994) argue that fostering and ful�illing the vision
is everyone’s responsibility. Examples of good vision
statements include:
Motorcycle Company:
“Toawakenadventurethroughmotorcycling”
Wine Maker:
“Tobetheworld’smostdistinguishedproducerof�inewines”
Chain Restaurant: “Tocreatea�irst-
rate,accessiblediningcompany”

lation/book/AUBUS370.14.1/%7Bpdfs%7Dfig_9.1.pdf
http://topnonprofits.com/mission-statements
WhyDoODConsultantsAdvocateVisionStatements?
Noting that “not all visions are equal,” (p. 299) Senge and
colleagues (1994) identify several attributes that make a
vision powerful. Powerful visions “tap into an organization’s
deeper sense of purpose and articulate speci�ic goals
that represent making that purpose real, [and] have unique
power to engender aspirations and commitment” (Senge
et al., 1994, p. 299).
Creating a shared vision requires stakeholders to re�lect on the
organization’s purpose and future. Senge and
colleagues (1994) equate building shared vision with building
shared meaning that yields a collective sense of what
is important.
HowDoODConsultantsHelpOrganizationsDevelopmentVisionSta
tements?

The consultant helps the client determine how it hopes its
products or services might change the world. The
statement should capture the organization’s dream; it is a
picture of the organization’s ultimate success.
There are multiple methods for creating vision statements.
These include simple wordsmithery and generative
activities in which multiple participants identify key vision
ideas that are collated and ranked. Other companies may
use exercises involving pictures and visual aids to create images
of the desired future. Table 9.2 compares the
characteristics of vision and mission statements.
A list of exemplary vision statements can be found at
http://topnonpro�its.com/vision -statements
(http://topnonpro�its.com/vision-statements).
Table9.2:Comparingmissionandvisionstatements
Missionstatements:
Whytheorganizationexists
Visionstatements:
Theorganization’sdesiredendstate

Succinct one-sentence statement explaining
why the organization exists. It should
1. be simple and clear,
2. avoid jargon,
3. be easily memorable,
4. be distinctive, and
5. not be confused with vision statement.
Succinct one-sentence statement describing the
organization’s long-term desired end state. It
should
1. be simple and clear,
2. avoid jargon,
3. be easily memorable, and
4. not be confused with a mission
statement.
Examplesofmissionandvisionstatements
AutomobileCompanyMission
GotheDistance:WeGotheDistancetoexceedthe
expectationsofourcustomersinqualityand

performance.
AutomobileCompanyVision
Tobetheworld'sleadingproviderofautomotiveproducts
andservices.
Children’sHospitalMission
CommittedtoMakingthemAllBetter:Wemake
childrenbettertoday,andhealthierinthefuture.
Children’sHospitalVision
Totransformthelandscapeofpediatrichealthcareand
improvethehealthofallchildren.
Values
http://topnonprofits.com/vision-statements
An organization’s values are principles that govern how the
organization expects to function in pursuit of its vision.
OD consultants are often hired to help the organization clarify
and articulate its values, along with its mission and
vision.

WhyDoODConsultantsHelpClientsDevelopValuesStatements?
A values statement brings the mission and vision statements to
life by describing what the organization believes in
and how it will behave. These statements signal the
organization’s beliefs and culture. Values statements can serve
as a moral compass for the organization by de�ining leadership
expectations, establishing standards, and guiding
decisions.
HowDoODConsultantsHelpClientsDevelopValuesStatements?
Values are usually derived in conjunction with mission and
vision statements. They are generally based on
consensus and ideally involve input from top management and
stakeholders across the organization.
What are the values of an organization of which you are part?
OD interventions often center on helping organizations
articulate their mission, vision, and values in a collective
process that is developmental. It may involve other visioning
interventions introduced later in this chapter, such as a
Future Search Conference, SWOT analysis, or environmental
scanning. Creating the mission, vision, and values

statements are often an integral part of strategic planning.
TakeAway9.1:Mission,Vision,andValuesDevelopment
Mission statements explain why organizations exist and are
often created or revised during
strategic planning.
Vision statements articulate the organization’s desired future or
end state. They are often created
or revised during strategic planning.
Values statements explain how the organization aspires to
behave in pursuit of its mission and
vision. These statements are generally created or revised during
strategic planning.
9.2StrategicPlanning
Strategicplanning is “a disciplined effort to produce
fundamental decisions and actions that shape and guide what
an organization (or other entity) is, what it does, and why it
does it” (Bryson, 2004, p. 6). Strategic planning seeks to
accomplish several goals, including establishing or revisiting
long-term vision, values, and mission statements that

span several years. Strategic planning scans the environment to
assess the competitors, products, and services that
characterize the industry context. The plan generates strategies
to be implemented over a 5-year period that
delineate speci�ic activities, champions to advocate for the
plan, and deadlines for accomplishing tasks. For example,
Jeff and Jane led the nonpro�it health organization’s staff and
board through a strategic planning process that helped
accomplish these goals.
The strategic planning process has several steps, including
engaging in comprehensive, effective information gathering;
clarifying the organization’s mission, vision, and values;
identifying issues to be addressed in pursuit of the mission;
developing and exploring strategic alternatives;
emphasizing the future impact of present decisions; and
creating speci�ic, measurable actions and time lines, usually in
5-year increments.
Strategic planning helps organizations communicate their
mission and goals to employees and other stakeholders.
The process is often collective and seeks input from across the
organization and its constituents. It represents
multiple agendas, interests, and values. It also creates a

deliberative assessment of the past, present, and future and
establishes accountability measures. An organization typically
makes a public commitment to its strategic plan and
uses the plan to guide its decisions and actions. Figure 9.2
outlines a simple approach to strategic planning.
Figure9.2:Strategicplanningsteps
Strategicplanningisa3-
stepprocesstodeterminewhereyouare,whereyouwanttobe,and
howtogetthere.
An effective strategic plan will communicate the organization’s
mission, vision, and values to the organization’s
constituents. The plan will also help the organization prioritize
and allocate resources and provide a basis for
measuring progress and change. Consultants who facilitate a
strategic planning process must educate themselves on
the necessary steps, usually by undergoing continuing education
or graduate study. They should also use products
such as MyStrategicPlan
(http://mystrategicplan.com(http://mystrategicplan.com)) to

track progress and make the
plan and accomplishments visible on the organization website.
Several interventions support the strategic planning process.
These include environmental scanning, SWOT analysis,
scenario planning, and creating SMART goals. Each will be
pro�iled in the following sections.
EnvironmentalScanning
When the organization scrutinizes external and internal factors
that provide critical information about its future, the
organization is engaged in environmental scanning.
Environmental scanning involves both external and internal
scans:
External scans examine industry and government reports,
relevant journals, conferences, and any other
sources that can be used to evaluate the industry. This
information might include competitors, market
conditions, government regulations, demographics, technology,
economic development, global trends, or
anything else that might affect the organization’s livelihood.
Internal scans draw on stakeholder interviews, annual reports,
planning documents, analysis reports,

customer surveys, employee surveys, marketing reports, board
meeting minutes, human resource databases,
and other sources that provide relevant information.
WhyDoODConsultantsRecommendEnvironmentalScanning?
Environmental scanning systematically scrutinizes the
organizational context (economic, competitive, social,
political, and so forth) and collects data to develop a picture of
current and future conditions that could positively or
negatively impact the organization. Environmental scanning is
important for organizations to maintain or improve
their competitive position. The data generated by an
environmental scan is used to develop or change strategies and
plans. Environmental scanning can be done on any scale.
Individuals may engage in it on a personal level when they
try to understand the job market or select the best product to
buy. Organizations use it regularly to anticipate the
future and be more internally and externally strategic.
HowDoODConsultantsFacilitateEnvironmentalScanning?
Environmental scanning involves the following steps:
1. Collect data about the context in which the organization

operates, including
a. economic,
b. government,
c. legal,
d. demographic,
e. social,
f. political, and
g. environmental.
2. Use data sources such as
a. publications,
b. focus groups,
c. industry leaders,
d. internal leaders,
e. media, and
f. civic associations.
3. Critically examine competitors to discover trends,
opportunities, and threats that have implications for the
organization.
http://mystrategicplan.com/
4. Conduct an internal scan to examine the organization’s

strengths and weaknesses. This should include
reviewing short- and long-term goals.
5. Assess where the organization is now and where it should be
in 10 years. Conduct a gap analysis as
discussed in Chapter 4.
6. Collect relevant data from the community in which the
organization operates. Outcomes might be joint
projects or strategies. Relevant stakeholders might include
a. nonpro�it organizations,
b. governmental or social agencies,
c. higher education institutions, and
d. religious organizations.
7. Analyze the data and use it to develop or modify strategy.
Have you ever participated in environmental scanning? See the
activity at the end of the chapter to practice.
SWOTAnalysis
During a SWOTanalysis, employees and other stakeholders
come together to identify an organization’s strengths
and weaknesses and to examine environmental opportunities and

threats. It is often done as part of strategic
planning and is very effective if performed correctly.
WhyDoODConsultantsDoSWOTAnalysis?
The act of simply carrying out an analysis using the SWOT
framework can be enough to reveal what needs to change
and to stimulate new ideas. SWOT analyses are often
undertaken following environmental scanning to establish
strategies to maximize opportunities and minimize threats.
HowDoODConsultantsDoSWOTAnalysis?
To carry out a SWOT analysis, re�lect on the questions listed
in Figure 9.3.
Figure9.3:SWOTanalysisquestions
Whenansweringthequestions,participantsshouldavoidbeingoverly
modest.Instead,they
shouldberealisticandconsiderbothinternalandexternalvariables.
Facilitating a SWOT analysis for a client involves following

these steps:
1. Ask participants to individually brainstorm on each of the
SWOT categories (strengths, weaknesses,
opportunities, and threats). Have them write down their ideas on
Post-it notes.
2. Invite participants to place their Post-it notes on �lip charts
stationed around the room. Each �lip chart
should be devoted to one SWOT category. Individuals will work
around the room in carousel fashion, adding
one issue to each �lip chart until all ideas are exhausted.
3. Tally the issues. Seek consensus on prioritization of the key
issues in each SWOT category.
4. Review and discuss the issues.
5. Invite the group to raise questions and answers.
6. Help the group plan action around key issue(s).
7. Summarize the process and outcomes.
Keep in mind that groups have a tendency to get stuck in the
process of identifying issues and have dif�iculty moving
toward commitment to action. Plan for transition out of the
SWOT analysis to bridge the gap between idea
generation and meaningful action.

Returning to the vignette, the nonpro�it organization underwent
a SWOT analysis as part of its planning to adjust
priorities and goals. The process helped clarify the nonpro�it’s
challenges around fund-raising in particular.
SMARTGoals
Strategic plans should incorporate SMARTgoals; that is, goals
that are:
Speci�ic
Measurable
Attainable
Realistic or Relevant
Time bound
Table 9.3 offers descriptions and examples of SMART goals.
WhoInventedThat?SMARTGoals
The SMART mnemonic was introduced by George Doran,
Arthur Miller, and James Cunningham in 1981.

Since that time it has served as the standard tool for creating
effective goals. The words have been
modi�ied over the years, as re�lected in Table 9.3. You can
read more about the development of SMART
goals in the following article:
Source:Doran,G.T.,Miller,A.F.,&Cunningham,J.(1981).There’sa
SMARTwaytowritemanagement’sgoalsandobjectives:Howtoavoi
dcostly
jobmismatches.Management Review, 70(11),35–36.
HowDoODConsultantsHelpClientsSetSMARTGoals?
WhyDoODConsultantsHelpClientsSetSMARTGoals?
SMART goals help clients develop goals that hold them
accountable for implementing their strategic plan.
Addressing each aspect of the SMART goals helps clients
develop good goals.
ScenarioPlanning
Scenarioplanning is a strategic planning approach that assesses

all possible environmental changes that could
affect the organization and creates a story about the outcomes.
Strategic responses to the stories are developed so
that all imaginable contingencies have been considered.
WhyDoODConsultantsDoScenarioPlanning?
Organizations use scenario planning to plan long-term strategy
in a shifting environment. For example, the process
was used by Royal Dutch Shell to predict future shifts in the oil
industry. The creation of scenarios can give
organizations a context and situation that mimic reality and
more readily allow problem solving and innovation.
HowDoODConsultantsDoScenarioPlanning?
Scenario planning was introduced in the 1960s as a military tool
to design weapons technology. It was then adopted
for business planning and community building (Haeffner,
Leone, Coons, & Chermack, 2012). Chermack (2011)
suggests that scenario planning involves
1. emphasizing changed thinking,

2. creating informed narratives or stories of plausible futures,
3. making better decisions about the future, and
4. enhancing human and organization learning.
For example, during the nonpro�it retreat pro�iled in the
vignette, Jeff and Jane developed potential stories of what
might happen in the future if fund-raising further diminished or
increased dramatically.
TakeAway9.2:StrategicPlanning
Environmental scanning is often used to provide a baseline for
strategic planning. It is a process of
scrutinizing internal and external factors that have implications
for the economic, competitive,
social, and political context of the organization.
SWOT analyses examine the organization’s strengths,
weaknesses, opportunities, and threats and
use them in strategic planning.
SMART goals are speci�ic, measurable, attainable, realistic or
relevant, and time bound.
Scenario planning develops stories that represent possible
outcomes for the organization, which
can use them to problem solve and innovate.

9.3OrganizationDesign
How an organization is set up in terms of its reporting
relationships is known as organizationdesign. Organization
design “describes how the overall work of the organization is
divided into subunits and how these subunits are
coordinated for task completion” (Cummings & Worley, 2009,
p. 315.). The design is in�luenced by the environment,
the organization’s size and strategy, and technology (Cummings
& Worley, 2009). Organization design can take
several forms in terms of its structure. When an organization’s
structure does not work well or prevents the
organization from achieving its goals, it will redesign or
restructure.
Organization design may change following a shift in strategy, a
merger or acquisition, or outsourcing and
downsizing. Such a shift allows the organization to more
effectively meet the changing demands and market
conditions.
OrganizationStructure

The order of reporting relationships and their general design is
known as organization structure. There are
several varieties, including functional, divisional, matrix,
process, and network (Cummings & Worley, 2009). We will
de�ine each type shortly. Having an appropriate structure
facilitates the organization’s work and productivity.
WhyDoODConsultantsAddressOrganizationStructure?
An organization’s structure determines reporting relationships,
level of formality, and how work gets accomplished.
Consultants examine organization structure to assess how well
it �its with the organization’s overall mission, vision,
and values.
HowDoODConsultantsAddressOrganizationStructure?
Consultants �irst assess the organization’s type of structure and
then examine the mission and vision, key processes,
and functions to see if the structure makes sense. For example,
most automotive companies have hierarchy,
assembly lines, and clear productivity targets. However, that
type of structure would not be�it a company focused on
high-tech, quick response, and innovation.

TypesofOrganizationStructure
This section pro�iles common organization structures. See if
you can identify the structure of an organization you
belong to as one of these types.
FunctionalStructure
Functional organizations are organized according to functional
activities such as �inance, human resources,
operations, and so forth (Cummings & Worley, 2009). The
functional structure values skill specialization, in that
certain subdivisions carry out all tasks associated with that
function for the organization. This structure promotes
career development within the function, sometimes at the
expense of exposure to other functions. The functional
structure is sometimes accused of being “siloed” in that the
functions become isolated from each other and lack
understanding and communication across the organization. See
Figure 9.4 for an example of a functional structure.
Figure9.4:Functionalstructure

Thisstructureistheclassichierarchymostofusthinkofwhenweenvisi
onorganization
structure.
DivisionalStructure
In a divisional structure, also called a self-contained unit,
activities are organized according to products, services,
customers, or geography (Cummings & Worley, 2009). Because
members identify with the product or service rather
than their own function and are oriented to the customer,
departments tend to be more cohesive across the
organization as compared to the functional structure. Cross-
training is also more easily facilitated. However, the
divisional structure may not be as ef�icient as the functional
structure because of duplication of services, and career
advancement within a specialty is more dif�icult. Divisional
structure is depicted in Figure 9.5.
Figure9.5:Divisionalstructure
Theadvantageofadivisionalstructureisthecohesivenessittendstocr
eate.
MatrixStructure

The matrix structure attempts to blend the functional and
divisional structures by “superimpos[ing] a lateral
structure that focuses on product or project coordination on a
vertical functional structure” (Cummings & Worley,
2009, p. 319). This structure promotes the sharing of functional
and product knowledge across functions. It requires
a �lexible and supportive management, since employees often
report to both functional and product managers,
making this structure more politically contested and dif�icult to
implement than other structures. See Figure 9.6 for
an example of a matrix structure.
Figure9.6:Matrixstructure
Thematrixstructureallowsforsharingofinformationacrossfunction
s,butbecause
employeesmayreporttomorethanoneperson(i.e.functionalandprod
uctmanagers),this
structureoftencreatestensionandismoredif�iculttoimplement.
Process-BasedStructure

Cummings and Worley (2009) describe the process-based
structure as “a radically new logic for structuring
organizations [by forming] multidisciplinary teams around core
processes such as product development, order
ful�illment, sales generation, and customer support” (p. 322).
This is a relatively �lat structure with a small senior
management team. Each major process has an owner who
oversees its management. This structure is highly
customer oriented and able to quickly adapt to the environment.
There is generally strong teamwork based on the
need to work across process groups to serve the customer.
Successfully organizing according to process requires a
shift in thinking about management’s role. Moreover, it may
take longer to make decisions and accomplish tasks in
the process-based structure. See Figure 9.7 for an example.
Figure9.7:Process-basedstructure
Theprocess-
basedstructurehasteamsfocusingaroundcoreprocessesinsteadofar
ound
products.

NetworkStructure
This structure “manages the diverse, complex, and dynamic
relationships among multiple organizations or units,
each specializing in a particular business function or task”
(Cummings & Worley, 2009, p. 328). Network structures
have been described as spider webs, clusters, or starbursts. They
are characterized by vertical disaggregation, or the
splitting of business functions into separate organizations that
perform specialized work. Network organizations do
not have hierarchies but are often managed by brokers who
orchestrate processes, much as a general contractor
draws on a network of specialties to construct a building
(Cummings & Worley, 2009). Brokers coordinate a variety
of informal relationships, contracts, and market mechanisms.
Network structures are �lexible and adaptable to the
environment and are usually good at meeting customer and
market demands. However, this structure is complex and
unstable, making recruitment and retention challenging.
See an example in Figure 9.8.
Figure9.8:Networkstructure

Themostadaptableoftheorganizationstructures,thenetworkstructu
reallowsfora
�lexibleenvironmenttomeetcustomerandmarketdemands.
Organization design is driven by the organization’s mission,
vision, values, and strategic plan. When there is a
mismatch, reorganization is usually necessary.
ReorganizationandRestructuring
Organizations must make changes that allow them to more
nimbly respond to environmental factors such as
increased competition, globalization, and new technologies.
Often these factors require organizations to rethink
their structures through reorganizing or restructuring their
operations to allow them to more effectively meet
market conditions.
WhyDoODConsultantsHelpClientsReorganizeandRestructure?
Organizations often decide to reorganize to improve
communication, quality, or customer satisfaction or to improve
productivity and performance. These activities can also be part

of strategic plan implementation, particularly when
the goals relate to improved performance and ef�iciency.
HowDoODConsultantsHelpClientsReorganizeandRestructure?
Restructuring is the process by which an organization design is
changed. Organizations will usually shift from a
more traditional structure (such as a functional, divisional, or
matrix) to a more integrative and �lexible structure
(such as a process based or network). Also known as �lattening,
restructuring involves shifting the organization to
become more agile, responsive, productive, and effective.
Restructuring is in�luenced by the environment, the
geographic span of operations, organization size, technology,
and strategic plan. Here we discuss three common
approaches to restructuring: reengineering, mergers and
acquisitions, and downsizing.
Reengineering
Reengineering (Hammer & Champy, 1993) is the radical
redesign of the organization’s core work processes to
provide greater linkage and coordination among tasks. The goal
is to achieve higher, faster performance and better
customer service. Reengineering is primarily concerned with

streamlining business processes and pays little
attention to the human social system (French & Bell, 1999;
McLean, 2006). The reengineering process is often
associated with technological advances that the organization
must adopt. Reengineering questions tasks and
processes and attempts to unearth the assumptions that govern
them. The result is usually radical changes in
thinking and practice and improved customer service.
Reengineering is accomplished by preparing the organization,
usually through data and education, about the need
for the change. Preparatory work also involves clarifying the
organization’s strategy and objectives so that the
reengineering effort supports the long-term vision and mission.
The reengineering process begins with a
fundamental rethinking of how work gets accomplished by
identifying and analyzing core business processes,
de�ining performance objectives, and designing new processes.
Next the organization restructures around the new
business processes. Typical process changes include shifting
from functional departments to process teams;
changing jobs from simple tasks to multidimensional work;

empowering workers to have more authority in their
roles; shifting compensation and performance measures from
activities to results; �lattening the organization’s
structure; and shifting managerial behavior from supervisory to
coaching (Cummings & Worley, 2009).
MergersandAcquisitions
Restructuring is usually necessary when companies merge or
acquire new businesses. McLean (2006) identi�ies
four methods of restructuring after a merger or acquisition:
1. Limited integration: Operations continue as they were
premerger; alternatively, the acquisition is managed
by a holding company, which houses several other
organizations. For example, Walt Disney is the world’s
largest mass media holding company, with theme parks, studios,
television channels (Disney, ESPN, A&E,
and ABC Family), as well as familiar �igures like Mickey
Mouse.
2. Dominant company: The acquiring company absorbs the
acquired company into its operations.
3. Mutual best of both: Melds the best of each organization into
a new organization.

4. Transformation to new company: Although similar to mutual
best of both, this structure adopts entirely new
organization practices to create a new organization.
Have you ever been part of an organization that experienced one
of these changes? If so, which structure did you
experience?
Mergers and acquisitions often stimulate multiple OD efforts at
the individual, team, and organization levels.
Sometimes mergers and acquisitions stimulate downsizing.
Downsizing
When an organization decreases its size to reduce cost and
bureaucracy, it is downsizing. Downsizing is usually
prompted by mergers and acquisitions, restructuring, lost
revenue and market share from industrial and
technological change, or social pressure to create a small, lean
organization (Cummings & Worley, 2009).
Additionally, McLean (2006) identi�ies economic downturn,
change in product or service demand, technological
shifts, improved processes, and �lattening as reasons
organizations downsize.

Downsizing is usually accomplished through workforce
reduction,
organization redesign, or systemic redesign (Cameron, Freeman,
&
Mishra, 1991; Cummings & Worley, 2009):
Workforce reduction seeks to reduce the organization’s
head count and is usually a short-term downsizing tactic
accomplished through layoffs, attrition, retirement
incentives, and buyout packages.
Organization redesign seeks more fundamental
organization change than workforce reduction and is a
longer term strategy accomplished by merging units,
moodboard/Thinkstock
Organizationsdownsizetosavemoney,
althoughthereislittleevidencethatit
effectivelyaccomplishescostsavings.
redesigning tasks, and eliminating functions, layers, and
products.
Systemic redesign seeks transformational culture change. A

long-term strategy, it involves changing responsibilities,
adopting continuous improvement programs, simplifying
processes, and accepting downsizing as a way of life.
Incidentally, the rise of the contingent workforce is a
consequence
of downsizing. Research on downsizing indicates that it does
not
achieve intended results in cost reduction or productivity gains
(Cummings & Worley, 2009).
TakeAway9.3:OrganizationDesign
Organization structure determines how work gets accomplished,
how employees relate, and an
organization’s level of formality. Organization structure takes
several forms, including functional,
divisional, matrix, process based, and network.
Organization design can be changed through reorganization or
restructuring, often in the form of
reengineering, mergers and acquisitions, or downsizing.
alvarez/Vetta/GettyImages

Interventionsthatsupportlearning
valuetheprocessandstrategyfor
creatingalearningculture.
9.4LearningInfrastructure
When an organization embraces learning as a process and
strategy and creates systems to capture and share
learning, it is concerned with learninginfrastructure. We have
shifted from the industrial age to the knowledge
age, and with that change we need to facilitate learning and
thinking that begins at the individual level and ideally
spreads throughout the organization. “Organizations will no
longer remain competitive with informal approaches to
knowledge and learning” (Gilley & Maycunich, 2000, p. 16).
Organization-level interventions aimed at learning seek
to raise awareness of how knowledge can give organizations a
competitive edge. Two learning infrastructure
interventions—organization learning and the learning
organization—gained popularity in the 1990s, particularly
with the publication of Peter Senge’s (1990)
TheFifthDiscipline:TheArtandPracticeoftheLearningOrganizatio
n.
These are discussed here.

OrganizationLearning
An organization concerned with des-cribing the nature and
process of internal learning is focused on organization
learning (Callahan, 2003). When an organization focuses on
learning, it pays attention to how knowledge is
developed and shared.
WhyDoODConsultantsFacilitateOrganizationLearning?
Developing organizational capability for learning builds
adaptive
capacity that is important in continually shifting markets that
are highly
competitive and driven by knowledge. The quality of individual
learning
impacts organizations, yet learning is often riddled with errors
that
prevent change and progress.
In his classic HarvardBusinessReviewarticle, “Teaching Smart
People to
Learn,” Argyris (1991) argued that most people do not know
how to
learn. Even people who are regarded as the smartest are rarely

effective
learners. He suggested that professionals’ greatest fears are to
make
mistakes and fail; they therefore create elaborate mechanisms to
defend
themselves against either outcome, at the expense of the system.
For
instance, when most people are confronted with a question they
cannot
answer, they make up one instead of admitting they do not know
(or
pledging to �ind out). People will go to great lengths to avoid
appearing
ignorant or inexperienced. Yet such behavior can ultimately
hurt both
individuals and organizations, especially when it results in poor
decisions or unshared learning. Argyris also found
that otherwise smart people go to great lengths to cover up
mistakes. Argyris called this unwillingness to admit
ignorance or mistakes learned incompetence. Interestingly, most
individuals and organizations are not even aware
that they have learning de�iciencies.
HowDoConsultantsFacilitateOrganizationLearning?

Argyris and Schön (1974) developed the original models of
organization learning. The organization uses learning to
change behavior; the new knowledge helps the organization
transform information, which improves its long-term
capacity (Callahan, 2003). Organizations committed to
organization learning will undergo interventions such as
re�lective practice, action learning, team learning, learning and
development programs, and problem solving.
LearningOrganization
Senge (1990) de�ines a learning organization as “an
organization that is continually expanding its capacity to create
its future” (p. 14). Watkins and Marsick (1993) view it as
learning that transforms or changes the organization and
observed that it occurs at four interdependent levels: individual,
team, organization, and society.
In effective learning organizations, the workforce is accustomed
to participatory management, supportive culture,
ongoing learning opportunities, and rewards for learning. Such
organizations

encourage managers to be coaches, mentors, and facilitators of
learning;
build a culture of feedback and disclosure;
take a systemic, holistic view of the organization;
create shared vision with all stakeholders;
establish systems for sharing learning and using it in the
business;
provide regular opportunities to learn from experience;
foster trust throughout the organization; and
embrace the unexpected as opportunities to learn (Marquardt &
Reynolds, 1994; Mclean, 2006).
Embracing organization learning usually requires a signi�icant
shift in the organization’s culture. This is the subject
of the following section.
TakeAway9.4:LearningInfrastructure
Organization learning represents a learning infrastructure
intervention that is concerned with the
nature and process of learning and how it can be captured and
shared for future advantage.
The learning organization makes a strategic commitment to
harnessing learning for the

organization’s bene�it.
9.5Culture
Every human being belongs to multiple social groups that have
rules, rites, and rituals that shape members’ beliefs,
values, and behaviors. These variables mesh together to create
culture. Nations, cities, organizations, churches,
sports teams, universities, and so forth all have distinct
cultures. The meaning of culture has been debated and
studied for decades. In fact, during the 1950s Kroeber and
Kluckhohn (1952) found more than 150 de�initions of
culture in academic literature.
Edgar H. Schein’s (1991) groundbreaking work suggested that
by understanding culture, we gain a deeper
appreciation for the way it affects members’ thoughts, feelings,
and actions. Schein de�ined culture as a pattern of
basic assumptions that are invented, discovered, or developed
by a given group as it learns to cope with problems
adapting to the external environment. Culture is thus a learned
value system or structure for solving problems that
is passed down from old members to new ones. It is a

signi�icant in�luence on how members perceive, think, and
feel
about their environment, as well as how they behave.
Culture is often described as encompassing three levels: (a)
basic underlying assumptions, (b) espoused beliefs and
values, and (c) artifacts (see Table 9.4).
Table9.4:Levelsofculture
Levelofculture Description
Artifacts Visible structures and processes
Observable behaviors
a. Symbols
b. Slogans
c. Published list of values
Espoused beliefs and values Ideologies, goals, aspirations
May not be consistent with “published values”
Validated by shared experience
Basic underlying assumptions Unconscious, takes for granted
beliefs and values
Determines perceptions and behaviors

As you study this table, think of a culture to which you belong.
How would you describe each of these levels?
Consider fans of a sports team as an example:
1. Basic underlying assumptions
a. Team superiority
b. Support the team whether it wins or loses
c. Part of U.S. culture
2. Espoused beliefs and values
a. “We are number one”
b. “We are the Bulldawg Nation” (as said at the University of
Georgia)
c. Sportsmanship
3. Artifacts
a. Mascot
b. Cheers
c. Attire
d. Stadium
We will examine two different culture interventions: culture
change and diversity and inclusion.

CultureChange
Most people are unaware of the extent to which culture dictates
their thoughts and actions, including in
organizations. All members of an organization participate in and
shape its culture. For example, working long hours
may be a part of one organization’s culture. Although this rule
is not written anywhere or explicitly discussed, it is
understood by everyone who is part of the organization, and
newcomers quickly adopt it. When members fail to
comply with cultural rules, the culture �inds ways to correct,
reprimand, or remove them.
WhyDoODConsultantsFacilitateCultureChange?
There are good and bad cultures. OD interventions targeted at
culture aspire to make the culture more positive,
productive, inclusive, or innovative.
HowDoODConsultantsFacilitateCultureChange?
Culture change is challenging because it attempts to change
“business as usual.” “Changing an organization’s culture

is one of the most dif�icult leadership challenges. That’s
because an organization’s culture comprises an interlocking
set of goals, roles, processes, values, communications practices,
attitudes and assumptions” (Denning, 2011).
A good way to approach culture change is to use survey
research. Conducting a survey about how people regard the
organization’s culture, practices, policies, products, and
management provides a baseline (or comparative data, if a
survey has been conducted before). This type of data offers
management rich feedback on what is working well and
less well. The results can provide an agenda for change that the
organization can prioritize and implement.
Next the leadership needs to offer a vision for the future once
the organization changes. This might be product
innovation, market dominance, customer satisfaction, or
ef�iciency. The vision needs to be communicated clearly
and broadly so that the organization both understands and
supports it.
If the changes require new roles, then management needs to
articulate what these are. It also needs to establish new
reward systems that recognize contributions to the new culture,
along with metrics that measure progress. For

example, if the leadership culture is being changed from
autocratic to participative, managers would be rewarded
for exhibiting participative behavior, such as including
employees in decision making. There also need to be clear
consequences for supporting (or not supporting) the desired
culture changes. Finally, infrastructure to support the
new culture needs to be created. This might include resources,
new positions, new policies, or new procedures.
TipsandWisdom
Culture change at the World Bank has proved dif�icult over the
years, particularly because it presents a
unique culture change challenge. The organization’s formal
purpose is ambiguous, and the institution is a
combined philanthropic foundation, a university, and a bank.
Governments around the world own this
international organization, with a resident board of directors
and staffs who operate the World Bank on a
day-to-day basis and regularly question the management. Read a
case study of culture change at the World
Bank:
http://www.forbes.com/sites/stevedenning/2011/07/23/how-do-
you-change-an-organizational-

culture.(http://www.forbes.com/sites/stevedenning/2011/07/23/h
ow-do-you-change-an-organizational-culture)
you-change-an-organizational-culture
monkeybusinessimages/iStock/Thinkstock
TheU.S.workforceisbecoming
increasinglydiverse.
DiversityandInclusion
Organizations and their members are inimitable. Each has
distinctive values, cultures, identities, and social norms
that blend into the complex sociocultural system of work.
Diversityand inclusion interventions aim to make
organizations more welcoming and af�irming of an increasingly
varied workforce; as such, they address changing
demographics, the dearth of ongoing diversity and inclusion
interventions, their spotty success rates, and their
pitfalls and strategies.
Assessment:EquityandDiversity

Take the Equity and Diversity Quiz to assess your level of
awareness related to issues of diversity and
inclusion:
http://www.edchange.org/multicultural/quiz/quiz1.htm
(http://www.edchange.org/multicultural/quiz/quiz1.htm)
WhyDoODConsultantsPromoteDiversityandInclusion?
The U.S. Census Bureau
(https://www.census.gov/newsroom/releases/archives/population
/cb12-243.html
/cb12-243.html) ) predicts dramatic demographic
shifts over the next 50 years, the rami�ications of which are
already being felt in many organizations. By 2043 the
United States is projected to become a majority–minority
nation, meaning that although the non-Hispanic White
population will continue to be the largest single group, no group
will constitute a majority. The population is
predicted to grow slowly and age rapidly, and more older adults
are remaining in the workforce: In 1990 just 21.8%
of adults aged 65 to 69 were working full time, whereas in
2010, 30.8% were.

“The worldwide phenomenon of economic globalization not
only
has provided different logistics and consumption habits, but
also
has generated a new workplace environment much more diverse
than ever” (Castro, 2013, p. 37). Today’s organization is
characterized by people of different genders, generations,
ethnicities, sexual orientations, physical abilities, countries of
origin, and religious beliefs working side by side. Each of these
groups has its own culture, needs, and expectations from work.
Historically, U.S. organizations have been designed and run by
White males. People outside of that cultural group have been
offered fewer training and development opportunities, received
fewer promotions, suppressed their identity in order to
assimilate
to patriarchal culture, and experienced harassment or other
mistreatment (Bierema, 2002). Obviously, diversity and
inclusion
interventions are needed throughout U.S. organizations, yet
according to Castro (2013), only 40% of 300 multinational
organizations surveyed intend to deliver multicultural
programs to develop leaders; only 9% already do. This indicates
that a majority of organizations are not taking steps
to prepare for an increasingly diverse workforce. Moreover,

36% of organizations surveyed were not even aware of
the meaning of a “multicultural program.” Nacherla (2008)
reports a study that found 68% of companies do not hold
senior executives accountable for diversity and inclusion
oversight; 65% lack a global diversity strategy; and 53% do
https://www.census.gov/newsroom/releases/archives/population/
cb12-243.html
not sponsor any training in this area. Given these statistics,
diversity and inclusion interventions are likely to
continue to be important for years to come, until organizations
become much more accommodating of diverse
perspectives and needs.
Even when organizations engage in diversity and inclusion
interventions, they may not �ind them effective.
Numerous researchers have observed that these interventions
lack a track record of success (Cavaleros, Van Vuuren,
& Visser, 2002; Kochan et al., 2003). For example, a
comprehensive review of 31 years of data from 830 mid- to
large-sized U.S. workplaces found that diversity training at
most �irms precipitated a 7.5% drop in the number of

women in management. The number of Black female managers
fell by 10%, and the number of Black males in top
positions fell by 12%. Similar trends were seen for Latinos and
Asians (Kalev, Kelly, & Dobbin, 2006; Vedantam,
2008). This discouraging research highlights the need for OD
consultants to have training and expertise in this area.
HowDoODConsultantsPromoteDiversityandInclusion?
Organizations face several obstacles in promoting diversity and
inclusion. This section identi�ies some of these and
offers strategies for overcoming them. These have been adapted
from Lankau (2013) and Nacherla (2008).
DiversityandInclusionInterventionPitfalls
Obstacles to promoting diversity and inclusion commonly
Managers and leaders assume diversity and inclusion is not their
job, but rather the responsibility of human
resources. In reality, it is everyone’s job, with zero tolerance
for disrespect of diversity.
The organization focuses on recruiting a diverse workforce but
not retaining one, because the organization

values diversity but lacks inclusivity. Not surprisingly, people
leave.
There is little or no assessment of organization culture to
evaluate how inclusive and diverse it is or to
intervene as necessary.
Training sessions are nonsubstantive; that is, they focus on
nonthreatening topics such as appreciating
different customs or foods but fail to help employees build
capacity to manage intercultural con�lict and
differences.
Training sessions have �lawed content and delivery and do not
help the organization build needed capacity
to manage and celebrate difference.
Diversity and inclusion programs are conducted to comply with
compulsory legal requirements but have
little organizational or leadership commitment.
There is little or no buy-in from senior management and no role
modeling.
Diversity and inclusion programs lack a strategic connection to
the organization’s long-term plans.
Expectations to embrace diversity and inclusion are not
strategically embedded in the rewards system or
culture.
The organization does not productively deal with con�lict—
particularly con�lict related to diversity and

inclusion issues.
Participation in diversity and inclusion training is mandatory,
which makes employees resent it.
There are no goals or strategies for diversity and inclusion and
it is not a part of the rewards or recognition
system.
Diversity “fatigue” sets in—that is, people get tired of hearing
about it and ignore it, or they think “we do this
well already” and shift their attention away from it.
The organization’s management lacks accountability for
improving diversity and inclusion.
DiversityandInclusionInterventionStrategies
The following are some common strategies organizations can
adopt to promote diversity and inclusion:
Initiate diversity actions with top management support and
examples.
Maintain a clear and consistent emphasis on diversity and
inclusion in the organization’s vision, mission,
values, and strategy.

Identify business drivers for diversity and how addressing it can
improve organization results (such as
innovation, creativity, market growth, customer satisfaction,
and supplier base).
Appoint a diverse board of directors.
Support formal and informal mentoring programs that target
diverse employees.
Engage employees in the process of creating a diverse and
inclusive organization through planning,
participation in training, soliciting feedback, and evaluating the
process.
Set expectations for and reward diversity and inclusion.
Promote a culture of communication and productive con�lict
resolution around misunderstandings and
problems.
Re�lect diversity in the organization’s hiring practices and
leadership.
Tie diversity and inclusion to the bottom line.
Articulate organization values around diversity and inclusion.
Integrate diversity and inclusion into the organization’s
strategy.
Engage in a long-term multifaceted change strategy to make the
organization more diverse and inclusive.
Engage in community and philanthropy for multicultural
nonpro�its.

Partner with educational institutions to increase minority
student enrollment.
Measure progress and create accountability mechanisms.
Ensuring management accountability will increase the
likelihood of a successful diversity and inclusion
intervention. Under CEO Jack Welch’s leadership, for example,
General Electric implemented an aggressive diversity
and inclusion strategy that appointed a chief diversity of�icer
and used employee networks, regular planning forums,
formal mentoring programs, and college recruitment of diverse
populations to increase the diversity of its
workforce. From 2000 to 2005, the company’s female, minority,
and non-U.S. citizen employees increased 12%
among top leadership and 11% among senior executives
(Nacherla, 2008). The vignette at the beginning of the
chapter featured a nonpro�it that lacked diversity. Through its
strategic planning process, it was able to create
speci�ic goals and measures for pursuing more diverse board
members and donors.
CaseStudy:CultureChangeintheMoreCompany
The More Company is in trouble. Sales are �lat, and a recent
survey of employees shows that more than half

are dissatis�ied with management, 25% are considering leaving
in the next year, and an overwhelming
90% say culture change is needed. These results are the focus of
an executive meeting.
“We obviously have problems and need to change,” notes CEO
Lauren Gerald. “What do we need to do to
create a culture where people are proud and happy to work
here?” Discussion ensues among her team,
which decides to call in an OD consultant who can help the
company engage in some serious assessment
and perhaps undertake cultural interventions. Lauren makes it
clear that she expects improvement and
change over the next year.
Joelle Herbert, the OD consultant, attends the next executive
meeting. She asks a lot of questions, such as:
How would you describe your current culture?
What is your strategy?
Who are your current leaders? Future leaders?
How do you perform in comparison to your competition?
What is the demography of your organization?
Why do you think people leave? Stay?

What supports are in place to help employees navigate the
organization and develop in their
careers?
Joelle carefully records and analyzes data from her visit with
the leadership team. She also reviews the
survey data and interviews frontline supervisors and a cross-
section of employees. The problems are clear.
Employees do not trust management and have no idea where the
organization is headed. They feel
excluded from any decisions that affect the business’s strategy
and consequently have no buy-in to the
current strategy. A culture of mistrust has developed.
Joelle gives this feedback to the leadership team. The team
members realize something has to change. They
work together to draft a new vision for the organization that
focuses on creating product excellence and
service and building an organization that breeds employee
loyalty and performance. They create SMART
goals, communicate these to their respective teams, and invite
input. The team decides to make four
changes:

1. Increase the quality and quantity of management
communication via multiple outlets, including
face-to-face, written, online, and customer.
2. Strategically recruit top talent to contribute to the mission,
and retain, train, and mentor the
current workforce to meet the new strategy.
3. Broadly solicit input into the strategic plan and modify as
needed.
4. Change reward systems that are tied more directly to the
strategic plan to reward managers who
advance the new, more open and collaborative culture.
The plan is implemented fairly quickly, but progress is slow.
Culture change is dif�icult, and employees are
usually suspicious of it. Some managers resist the change.
Subtle shifts begin once employees who work toward the change
are repeatedly recognized. Managers
begin consulting with their employees and allowing more time
to discuss issues prior to making decisions.
Communication improves. The changes are not total, but

progress is made in the right direction.
The CEO, Lauren, did several things to position the
organization for culture change:
1. Stage setting: The CEO put forth her expectations as a result
of the negative survey and took
action on it by hiring a consultant.
2. A vision for the culture change was shared broadly, and the
strategic plan was modi�ied with
employee input.
3. SMART goals were created across the organization.
4. Progress was measured and tracked.
5. Expected behaviors were clari�ied and rewarded.
1. What other interventions might you make if you were CEO?
2. What steps might you take if you were the consultant?
3. What resistance to this change can be expected?
TakeAway9.5:Culture

Culture is dif�icult to change. Culture change interventions
attempt to change the beliefs, values,
and behaviors of the organization culture in ways that make the
organization more positive,
productive, inclusive, or innovative.
Interventions to improve diversity and inclusion help the
organization maximize innovation
because of the variety of ideas a diverse workforce offers.
SeongJoonCho/BloombergviaGettyImages
Talentmanagementinvolves
identifyinghigh-potentialemployees
anddevelopingthemtotakekey
leadershiproles.Samsungisone
companythathasappliedtalent
managementwithmuchsuccess.
Here,CEOOh-HyunKwonspeaks
duringthecompany’sannual
shareholders’meeting.
9.6TalentManagement

Interventions aimed at developing and optimizing the
organization’s
workforce productivity revolve around a process called talent
management (Nagra, 2011). Talent management is concerned
with
recruiting, onboarding, retaining, managing, and developing a
high-
performing workforce. In a survey of 850 American, British,
Italian,
French, German, Spanish, Japanese, and Chinese executives,
67% ranked
talent management as second only to competition in importance
for their
organization (Altman, 2008).
One reason for this is that talent management improves
organization
performance: According to a McKinsey & Company study (as
cited in
Axelrod, Hand�ield-Jones, & Welsh, 2001), organizations with
top talent
management practices outperformed their competition by a 22%
return
on shareholder value. These companies also reported higher

productivity, pro�it, and sales. An example is Samsung, which
transformed itself into a leader in the electronics industry under
chair
Kunh-Hee Lee, who emphasized quality-based management and
talent
development. Under his 25-year leadership, the company market
capitalization went from approximately $1.1 billion in 1987 to
$375.5
billion in 2012 (Chung, 2013). “The key to Samsung’s talent
management
is to prepare a pool of next-generation leaders as part of a
succession
plan” (Chung, 2013, p. 58).
Talent management employs multiple strategies, such as the
previously
discussed individual interventions of training, assessment,
career
development, leadership development, and work design. Talent
management can also be addressed at the organization level by
creating a
talent management strategy and succession planning. Each of
these will
be discussed in this section.

TalentManagementStrategy
Managing talent is not accidental. It requires a
talentmanagementstrategy; that is, a plan, commitment, and
collaboration across the organization. Much like a strategic
plan, a talent management strategy seeks to make
personnel decisions and placements that shape and guide the
organization according to its vision and mission.
WhyDoODConsultantsPromoteTalentManagementStrategy?
The largest investment an organization will ever make is the
one it makes in its workforce. Thus, it is prudent for
organizations to take a long-term strategic approach to
developing it (Morgan & Jardin, 2010). Although most
organizations understand the importance of cultivating potential
leaders, many fail to do so. This means that, when
current leaders leave or retire, the organization is unable to
replace them quickly and appropriately and is forced to
work under capacity, a situation that is damaging over time
(Nada, 2008). Determining successors to current leaders
takes time, expertise, and knowledge of the workforce.
HowDoODConsultantsPromoteTalentManagementStrategy?

There are some key strategic steps to developing a talent
management strategy. The �irst is to make talent
management everyone’s job. This means the task does not fall
just to human resources or OD. Ideally, the
responsibility crosses the organization’s functions of sales,
operations, engineering, and so forth. All managerial
personnel need to think about developing talent within their
units and about who could replace them in the future.
The second step is to develop what a McKinsey & Company
report called the “talent mindset” (as cited in Michaels,
Hand�ield-Jones, & Axelrod, 2001, p. 11). Having a talent
mindset means that the organization keeps the
development of high-performing employees a priority at all
times and constantly considers its ability to develop
talent by posing questions such as “What is our capacity do our
jobs well?” or “Where do we need to improve to be
more competitive?”(McCauley & Wake�ield, 2006).
Creating a culture of feedback and assessment also helps build a
talent management system. McCauley and
Wake�ield (2006) recommend that consultants integrate needs
assessment of leadership (much like the steps in the

discovery stage of the action research model) to determine key
strengths and weaknesses of employees they wish to
develop.
Individual leadership development is another strategy that
prepares employees to move to the next level. This
intervention was discussed at length in Chapter 7.
Having a reputable performance evaluation process is also
helpful. The best such processes are ongoing; that is,
managers should not wait for an annual review to intervene
when they see a developmental opportunity. They seize
the moment for feedback and coach and monitor progress.
Finally, organizations that have successful talent management
programs are committed to learning, as discussed in
the previous sections on organization learning and the learning
organization. The ability to learn from experience
and share it with the next generation is imperative for talent
management.
Developing top talent is a strategic business imperative. Morgan
and Jardin (2010) recommend that companies take
the same approach to employee talent development that they do
to market development. Companies typically divide

markets into segments based on certain niches, such as potential
for greater revenue or improved margins. The
same can be done for employees around key learning and
development needs, stretch assignments (projects that
signi�icantly challenge the employee), or mentoring.
TipsandWisdom
Top talent is de�ined as workers who continually exceed
expectations and demonstrate productive
behaviors and agility in their learning and approach (Morgan &
Jardin, 2010). Talent management
programs identify top talent and use several interventions to
manage it, such as workforce planning,
analyzing gaps between needs and existing talent, recruiting,
staf�ing, training, retention, talent reviews,
succession planning, and evaluation (McCauley & Wake�ield,
2006). A key question to encourage your
managerial clients to ask is “How can I develop talent in my
organization?”See the accompanying adapted
list of the American Productivity and Quality Center and the
Center for Creative Leadership’s best talent
management practices.
1. De�ine “talent management” broadly. This means that

organizations take a liberal approach to
cultivating talent through learning and development,
experiences, and assignments.
2. Integrate the various talent management interventions into a
comprehensive system. Instead of
just offering a leadership development course to targeted
employees, organizations might launch
mentoring, networking, assessments, and other comprehensive
learning activities that develop
talent.
3. Focus talent management programs on the most highly valued
talent.
4. Get commitment from CEOs and senior-level executives.
5. Build competency models to develop a shared understanding
of the skills and behaviors the
organization needs and most values in employees.
6. Monitor talent across the organization to identify potential
talent gaps.
7. Excel at recruiting, identifying, and developing talent.

8. Develop effective performance management and retention
processes.
9. Evaluate the results of the talent management process on an
ongoing basis. (McCauley &
Wake�ield, 2006).
SuccessionPlanning
Successionplanning is the process of identifying employees with
high potential to assume leadership roles in the
organization. Targeted positions would include top executives
and the management levels immediately below that
level that will eventually feed the executive pipeline.
WhyDoODConsultantsPromoteSuccessionPlanning?
Most workers stay with a particular organization for an average
of 4.4 years, and the youngest workers log about
half that (Meister, 2012). Organizations that lack a contingency
plan for the unexpected departure of key leaders and
other personnel are at risk. Succession planning identi�ies
potential replacements of current leaders and managers
and determines what key experiences, training, and mentoring
they need to take on the next role.

HowDoODConsultantsPromoteSuccessionPlanning?
A succession plan is a document that highlights key leadership
and management roles. It also identi�ies potential
successors according to their experience and what development
they would need in order to take on a particular
role. Steps to succession planning include:
1. Identifying positions where succession planning is necessary.
2. Specifying the key knowledge, skills, and abilities for the
positions.
3. Assessing potential successors’ applicable knowledge, skills,
and abilities.
4. Developing potential successors for future positions,
especially where de�iciencies are noted (McLean,
2006).
Miles (2009) suggests that effective succession planning
programs engage stakeholders in determining the
succession pool and process. Stakeholders typically include
current top leaders, human resources managers, and
consultants. In terms of losing executives, organizations should
assume the worst; that is, they should be prepared

to replace all key positions as soon as vacancies occur. If a
successor is not readily identi�ied in the organization,
there should be a contingency plan to deal with the potential
vacancy, such as targeted industries or external
candidates.
It is also important to assess the talent pool to determine how
potential successors can be developed through
training, work assignments, and experiences to prepare them for
new roles and to strengthen any noted
weaknesses.
TakeAway9.6:TalentManagement
Developing a talent management strategy positions an
organization to meet competitive,
innovation, and long-term personnel demands.
Succession planning is a strategic plan for talent. It identi�ies
potential leaders and managers so
that the organization is not left without the key skills and
talents needed to run the business.

aerogondo/iStock/Thinkstock
Large-scaleinteractiveeventsattemptto
capturethecollectivethinkingofkey
stakeholdersindecidingtheorganization’s
future.
9.7Large-ScaleInteractiveEvents
Large-scale or organization-wide OD is concerned with system-
wide interventions usually targeted at improving
problem solving, leadership, visioning, and task
accomplishment between groups. These activities are known as
large-scale interactive events (LSIEs). LSIEs can be traced to
Kurt Lewin’s (1951) original change model,
discussed in Chapter 2. That is, their basic steps are �irst to
“unfreeze” the current situation so change can occur,
then to make changes, and �inally to “refreeze” the new
situation in place.
WhyDoODConsultantsDoLSIEs?
LSIEs are conducted when the organization wants to seek broad
input from a range of stakeholders, generate
innovative ideas, and/or plan for the future. Because of the

highly participative nature of the LSIE, the results tend to
promote acceptance of and enthusiasm toward the ideas
generated during the event.
The major features of large-scale, real-time change management
processes include the following:
They take a systems approach to the problem and consider
all angles and options.
They use environmental scanning to consider the
organization system in the wider system.
They share information across the organization.
They are quick processes that result in immediate action.
They are characterized by shifts in perspective: Learning
shifts from the individual level to the organization level as
individuals, groups, and the organization gain new insights
and ideas.
Accountability shifts from senior management to the whole
organization system, since the process gets “the whole
system in the room” to engage in planning and thinking.
The change process itself shifts from incremental to
fundamental, organization-wide change.
LSIEs are challenging to accomplish and require careful
planning

and skilled facilitation. They are usually offered only by OD
consultants experienced in facilitating large events.
HowDoODConsultantsDoLSIEs?
When planning LSIEs, the OD team must confront a variety of
special considerations for large group interventions.
First, a compelling meeting theme is essential. Is the meeting
for strategic planning, innovation, culture change, or
some other objective? Second, attendance must include all
appropriate stakeholders, depending on the theme.
Stakeholders might include all employees or a large cross-
section of them, particularly of employee groups such as
managers, members of an organization, residents of a
community, customers, suppliers, and so forth. The agenda
must include relevant tasks to address the conference theme,
including the following:
mapping the current organization context;
assessing the organization’s responses to environmental
dynamics;
identifying the organization’s core mission, vision, and values;
creating a realistic future scenario of environmental
expectations and organization responses;
creating an ideal future scenario of environmental expectations

and organization responses; and
comparing the present with the ideal future and preparing an
action plan for reducing the discrepancy
(Cummings & Worley, 2009).
MethodsofLSIEs
This section provides a summary of the best-known methods for
managing organizational change with large groups.
These include Dannemiller Tyson’s Interactive Strategic
Planning, Marvin Weisbord’s Future Search Conference,
Dick Axelrod’s Conference Model Redesign, and Harrison
Owen’s Open Space. Each will be brie�ly pro�iled. Much of
the information on these methods is from Smith and Smith
(1994) and Bunker and Alban (1992).
InteractiveStrategicPlanning
Dannemiller and her coworkers (1994) developed a 2- to 3-day
interactive strategic planning event that can
accommodate up to 2,300 people. The event helps organizations
identify a new strategic direction and provides

feedback to top people in the organization.
The Dannemiller Tyson approach is based on a formula that
Beckhard and Harris (1987) attribute to David Gleicher:
Dissatisfaction×Vision×FirstSteps>ResistancetoChange
According to this formula, dissatisfaction, vision, and �irst
steps must exceed zero, otherwise, resistance to change
will overwhelm any efforts to make lasting change. This
intervention aims to identify dissatisfaction and enable
articulating vision and taking �irst steps so that change can
begin.
The approach is task focused and structured, and it involves
interaction in small groups as part of the full-group
proceedings. First, a database of the current reality is
developed. This is accomplished by collecting views from
customers, leaders, workers, and their industry. Next, the
problems that impede change and progress are diagnosed.
Small groups (which may be functional) next send valentines to
each other—these messages convey what people
appreciate as well as what they need from each other to do their
jobs more productively. The rest of the approach
involves setting strategy and gathering and processing feedback

on it. A method of “preferred futuring” is followed
(similar to Weisbord’s, below), with action planning to secure
commitments for developing the proposed strategy
into reality.
TheFutureSearchConference
The Future Search Conference (Weisbord, 1992; Weisbord &
Janoff, 1995) is a planned 2½-day event. Ideally, it
involves 64 people, with a maximum of 72. The Future Search
Conference is based on Asch’s (1952) conditions for
effective dialogue, with an emphasis on �inding common
ground. The process involves looking at the past—
examining the previous state of the people, the business, the
industry, and the global environment—and looking at
the present—examining events that shape their reality.
Weisbord (1992) uses an exercise that involves “prouds and
sorries,” which helps participants re�lect on successes and
failures, or things in the organization they are proud of
and sorry for. They are also encouraged to devise scenarios of
their ideal future (keeping some of the past, changing
where needed for the future). The process has a heavy emphasis
on action planning to de�ine the steps that will be
taken so that the process does not end with the conference itself
but is translated into future action steps.

ConferenceModelRedesign
This method (Axelrod, 1992, 1993, 1995) uses a series of four
3-day conferences, held a month apart. It is a process
of reengineering intended to produce permanent, radical
organization redesign that occurs quickly. Axelrod (1992,
1993, 1995) recommends thoroughly planning and establishing a
steering committee, a data assist team, and a
walk-through staging in advance of the meeting. His approach is
customer focused, concentrates on the technical
work �low, and develops a preferred design for the
organization. The process involves four fast and highly
participative conferences:
1. vision conference: similar to Weisbord’s Future Search
Conference;
2. customer conference: to de�ine the requirements, business
relationships, roles, and customers;
3. technology conference: to identify redundancy and variance
and clarify participants’ assumptions about

their business; and
4. design conference: to develop a preferred design; uses
“treasure hunt” features.
The conferences are followed by a succession of implementation
steps for putting the plans into action.
OpenSpace
Open Space was devised by Owen (1992). The purpose of Open
Space is to surface information and promote
dialogue. The approach is based on the notion of an “idea
marketplace” that stresses learning, networking, and
community building. It can be characterized as relevant,
emerging, creative, and self-shaping, and it encourages
personal responsibility for self-learning.
The Open Space model features open facilities, an open agenda,
breakout rooms, and blank walls. Its ground rules
include focusing on the “here and now” and allowing order to
emerge from an apparent lack of planning and
structure. The conferences, which last from 1 to 3 days and
involve from 20 to 100 participants, have no structured
agenda. Team members post issues in the “open space” and
assume ownership of their personal issue. Other

members choose to work on the issues and are free to move
from issue to issue. The outcome is unpredictable, but
usually results in deeper understanding and action related to an
issue. Owen summarizes his method as:
“whoever comes”
“whatever happens”
“whenever it starts”
“when it is over, it’s over.” (as cited in Rouda, 1996)
TakeAway9.7:Large-ScaleInteractiveEvents
Large-scale interactive events (LSIEs) are system-wide
interventions that seek to improve
organizational problem solving, leadership, vision, or task
accomplishment.
Types of LSIEs include Interactive Strategic Planning, Future
Search Conference,
Conference Model Redesign, and Open Space.
SummaryandResources
ChapterSummary

Mission statements, which explain why organizations exist, are
often created or revised during strategic
planning.
Vision statements articulate the organization’s desired future or
end state. They are often created or revised
during strategic planning.
Values statements explain how the organization aspires to
behave in pursuit of its mission and vision. These
statements are generally created or revised during strategic
planning.
Environmental scanning is often used to provide a baseline for
strategic planning. It is a process of
scrutinizing internal and external factors that have implications
for the economic, competitive, social, and
political context of the organization.
SWOT analyses examine the organization’s strengths,
weaknesses, opportunities, and threats and use them
in strategic planning.
SMART goals are speci�ic, measurable, attainable, realistic or
relevant, and time bound.
Scenario planning develops stories that represent possible
outcomes for the organization, which it can use
to problem solve and innovate.
Organization structure determines how work gets accomplished,
how employees relate, and an

organization’s level of formality. Organization structure takes
several forms, including functional, divisional,
matrix, process based, and network.
Organization design can be changed through reorganization or
restructuring, often in the form of
reengineering, mergers and acquisitions, or downsizing.
Organization learning represents a learning infrastructure
intervention that is concerned with the nature
and process of learning and how it can be captured and shared
for future advantage.
The learning organization makes a strategic commitment to
harnessing learning for the organization’s
bene�it.
Culture is dif�icult to change. Culture change interventions
attempt to change the beliefs, values, and
behaviors of the organization culture.
Interventions to improve diversity and inclusion help the
organization maximize innovation because of the
variety of ideas a diverse workforce offers.
Developing a talent management strategy positions an
organization to meet competitive, innovation, and
long-term personnel demands.
Succession planning is a strategic plan for talent. It identi�ies
potential leaders and managers so that the
organization is not left without the key skills and talents needed

to run the business.
Large-scale interactive events (LSIEs) are system-wide
interventions that seek to improve organizational
problem solving, leadership, vision, or task accomplishment.
Types of LSIEs include Interactive Strategic Planning, Future
Search Conference, Conference Model
Redesign, and Open Space.
1. Find the mission, vision, and values statement of an
organization you belong to or want to explore. Assess
the statements. How compelling and memorable are they? How
well do they convey what the organization
does?
2. Find the strategic plan of an organization of your choice and
review it. What are its strengths and
weaknesses? How would you change it?
3. Take time to re�lect and write your own personal mission
statement. You can �ind many resources by
Googling “personal mission statement.” Or start by reading this
informative blog on the topic:

http://www.personalbrandingblog.com/strong-personal-mission-
statement-works-like-a-career-
gps(http://www.personalbrandingblog.com/strong-personal-
mission-statement-works-like-a-career-gps).
4. Return to the “Dimensions of the Learning Organization
Questionnaire” by Watkins and Marsick
(http://www.partnersforlearning.com/instructions.html
(http://www.partnersforlearning.com/instructions.html)) to
assess whether your organization would qualify as
a learning organization. What new insights do you have now
that you have learned about organization-level
interventions?
1. The chapter began with a vignette about a nonpro�it
organization that needed help articulating its mission,
vision, and values, as well as developing a strategic plan. What
is your experience with such interventions?
2. Conduct an environmental scan on the topic of your choice,
such as a career change, place to live, or social

issue that interests you. How might you apply a similar
approach to an organization you work for or are
involved with? For more information on environmental
scanning, read this article:
http://horizon.unc.edu/courses/papers/enviroscan(http://horizon.
unc.edu/courses/papers/enviroscan).
3. Conduct a SWOT analysis of an organization to which you
belong. Ideally, assemble a team to join you in the
process. If that is not possible, you can conduct one on yourself
or a social group to which you belong.
4. Identify the type of organization structure that exists in your
current workplace, based on the information
provided in the organization design section.
5. Take an inventory of the type of learning activities promoted
by your organization. Does it �it the de�inition
of a learning organization or organization learning? Why or why
not?
6. Take the Equity and Diversity Quiz found at
(http://www.edchange.org/multicultural/quiz/quiz1.htm)and
re�lect on your results. What do you need to work

on in the future to become more inclusive in your own life and
work?
7. Pick a culture to which you belong and identify examples of
the three levels of culture:
a. Basic underlying assumptions
b. Espoused beliefs and values
c. Artifacts
AdditionalResources
Media
HiltonHotelsMission,VisionandValues(Howdoesyourstaytherest
ackuptothisstatement?)
https://www.youtube.com/watch?v=LKgGdnz0658(https://www.
youtube.com/watch?v=LKgGdnz0658)
StrategicPlanningExplanation
https://www.youtube.com/watch?v=sU3FLxnDv_A(https://www.
youtube.com/watch?v=sU3FLxnDv_A)
OrganizationalDesignConcepts

https://www.youtube.com/watch?v=LvyXVTb3f1Y(https://www.
youtube.com/watch?v=LvyXVTb3f1Y)
CorporateCulture:AConversationwithEdgarSchein
https://www.youtube.com/watch?v=6ZB3jJlGWuk(https://www.
youtube.com/watch?v=6ZB3jJlGWuk)
TalentManagement
https://www.youtube.com/watch?v=s5jlNi03m7s(https://www.yo
utube.com/watch?v=s5jlNi03m7s)
http://www.personalbrandingblog.com/strong-personal-mission-
statement-works-like-a-career-gps
http://horizon.unc.edu/courses/papers/enviroscan
https://www.youtube.com/watch?v=LKgGdnz0658
https://www.youtube.com/watch?v=sU3FLxnDv_A
https://www.youtube.com/watch?v=LvyXVTb3f1Y
https://www.youtube.com/watch?v=6ZB3jJlGWuk
https://www.youtube.com/watch?v=s5jlNi03m7s

LSIE:FutureSearchInterview
https://www.youtube.com/watch?v=WPgGv48r_D8(https://www
.youtube.com/watch?v=WPgGv48r_D8)
WebLinks
Vision,Mission,andValuesDevelopment
Mission Statements.com, which offers instructions for how to
write effective mission statements from the Fortune
500.
https://www.missionstatements.com/fortune_500_mission_state
ments.html
(https://www.missionstatements.com/fortune_500_mission_state
ments.html)
StrategicPlanning
Nonpro�it Answer Guide’s Purpose of the Environmental Scan
page, which offers instructions on how to conduct an
environmental scan that pro�iles current and anticipated
environmental factors that may impact your organization.

http://nonpro�itanswerguide.org/faq/strategic-planning/whats-
the-purpose-of-the -environmental-scan-
for-your-nonpro�it-organization
(http://nonpro�itanswerguide.org/faq/strategic-planning/whats-
the-purpose-of-the-
environmental-scan-for-your-nonpro�it-organization)
MyStrategicPlan, a website that automates an organization’s
strategic plans and makes them available via the web,
based on what the organization wishes to share.
http://mystrategicplan.com(http://mystrategicplan.com)
OrganizationDesign
JournalofOrganizationDesign, aresearch journal focusing in
organization design.
http://www.jorgdesign.net(http://www.jorgdesign.net)
Microsoft® Of�ice’s page on how to create an organization
chart.
http://of�ice.microsoft.com/en-us/word-help/create-an-
organization-chart-HA010354860 .aspx

(http://of�ice.microsoft.com/en-us/word-help/create-an-
organization-chart-HA010354860.aspx)
LearningInfrastructure
Dimensions of the Learning Organization Questionnaire by
Watkins and Marsick. Take it and see how ready your
organization is for strategic learning.
http://www.partnersforlearning.com/instructions.html(http://ww
w.partnersforlearning.com/instructions.html)
Society for Organizational Learning, a nonpro�it member
organization for those interested in organization learning.
http://www.solonline.org/?home(http://www.solonline.org/?hom
e)
Culture
Enhancing Cultural Competence Toolkit, which offers tips for
enhancing culture.
http://ctb.ku.edu/en/enhancing-cultural-
competence(http://ctb.ku.edu/en/enhancing-cultural-

competence)
https://www.youtube.com/watch?v=WPgGv48r_D8
https://www.missionstatements.com/fortune_500_mission_state
ments.html
http://nonprofitanswerguide.org/faq/strategic-planning/whats-
the-purpose-of-the-environmental-scan-for-your-nonprofit-
organization
http://mystrategicplan.com/
http://www.jorgdesign.net/
http://office.microsoft.com/en-us/word-help/create-an-
organization-chart-HA010354860.aspx
http://www.solonline.org/?home
http://ctb.ku.edu/en/enhancing-cultural-competence
2014 Top Companies for Diversity. Find out if your company is
a top diversity company or where you might want to
work of yours is not.
http://www.diversityinc.com/the-diversityinc-top-50-companies-
for-diversity-2013
(http://www.diversityinc.com/the-diversityinc-top-50-
companies-for-diversity-2013)

U.S. Census on Diversity Projections, which contains U.S.
Census data predicting future demographics.
cb12-243.html
/cb12-243.html)
Multicultural Resources from the University of Georgia College
of Education, a wide range of resources focused on
diversity that have been organized by faculty.
http://www.coe.uga.edu/diversity/resource/multicultural-web-
sites
(http://www.coe.uga.edu/diversity/resource/multicultural-web-
sites)
Labor Force Participation Rate Age 65 and Older. See how the
demographics are shifting.
http://www.census.gov/prod/2013pubs/acsbr11-
09.pdf(http://www.census.gov/prod/2013pubs/acsbr11-09.pdf)
TalentManagement

Succession Planning: How to Do It Wrong (Forbes)
http://www.forbes.com/2009/07/30/succession-planning-
failures-leadership-governance -ceos.html
(http://www.forbes.com/2009/07/30/succession-planning-
failures-leadership-governance-ceos.html)
Succession Planning: How to Do It Right (Forbes)
http://www.forbes.com/2009/07/31/succession-planning-right-
leadership-governance -ceos.html
(http://www.forbes.com/2009/07/31/succession-planning-right-
leadership-governance-ceos.html)
McKinsey & Company: The Use and Abuse of Scenarios. Tips
to keep in mind for scenario planning.
http://www.mckinsey.com/insights/strategy/the_use_and_abuse_
of_scenarios
(http://www.mckinsey.com/insights/strategy/the_use_and_abuse
_of_scenarios)
Large-ScaleInteractiveEvents

Large Group Interventions, by Tom Cummings.
http://online.sfsu.edu/rpurser/Large Group Intervention OD
Handbook.htm
(http://online.sfsu.edu/rpurser/LargeGroupInterventionODHand
book.htm)
Dannemiller Tyson Strategic Vision
http://www.dannemillertyson.com/library/vision_nightmare.htm
l
(http://www.dannemillertyson.com/library/vision_nightmare.ht
ml)
The Conference Model
https://sites.google.com/site/thechangehandbook/samples/the-
conference-model
(https://sites.google.com/site/thechangehandbook/samples/the-
conference-model)
Future Search Network
http://www.diversityinc.com/the-diversityinc-top-50-companies-
for-diversity-2013

cb12-243.html
http://www.coe.uga.edu/diversity/resource/multicultural-web-
sites
http://www.census.gov/prod/2013pubs/acsbr11-09.pdf
http://www.forbes.com/2009/07/30/succession-planning-
failures-leadership-governance-ceos.html
leadership-governance-ceos.html
http://www.mckinsey.com/insights/strategy/the_use_and_abuse_
of_scenarios
http://online.sfsu.edu/rpurser/Large%20Group%20Intervention
%20OD%20Handbook.htm
http://www.dannemillertyson.com/library/vision_nightmare.htm
l
https://sites.google.com/site/thechangehandbook/samples/the-
conference-model
http://www.futuresearch.net(http://www.futuresearch.net)
Marvin Weisbord (Future Search Originator)
http://www.marvinweisbord.com(http://www.marvinweisbord.co
m)

Open Space
http://www.openspaceworld.com/index.htm(http://www.openspa
ceworld.com/index.htm)
KeyTerms
culture
The rules, rites, and rituals of social groups that shape the
beliefs and behaviors of their members.
diversityandinclusion
Interventions aimed at making organizations more welcoming
and af�irming of an increasingly multicultural
workforce.
downsizing
When an organization decreases its size to reduce cost and
bureaucracy.
large-scaleinteractiveevents(LSIEs)
System-wide interventions usually targeted at improving
problem solving, leadership, visioning, and task
accomplishment between groups.

learninginfrastructure
When an organization embraces learning as a process and
strategy and creates systems to capture and share
learning.
missionstatement
A statement that explains why an organization exists, including
its key audience, product, and evaluative
measures.
organizationdesign
How an organization is set up in terms of reporting
relationships; or reorganizing and restructuring to achieve the
most appropriate design for the organization’s needs.
organizationstructure
The order of reporting relationships and their general design
and relationship to each other, such as functional,
divisional, matrix, process based, or network.
reengineering
A radical redesign of the organization’s core work processes to
provide greater linkage and coordination among
tasks with the goal of higher, faster performance.

scenarioplanning
A strategic planning approach that assesses all possible and
improbable environmental changes that could affect
the organization and creates a story about the possible
outcomes.
SMARTgoal
A goal that is speci�ic, measurable, attainable, realistic or
relevant, and timely.
strategicplanning
http://www.futuresearch.net/
http://www.marvinweisbord.com/
http://www.openspaceworld.com/index.htm
when an organization makes a concerted effort to make
decisions and embark on actions that shape and guide its
entire essence.
successionplanning
The process of identifying employees with high potential to
assume leadership roles in the organization.

SWOTanalysis
When organization members come together to identify the
organization’s strengths and weaknesses, examine
environmental opportunities and threats, and create action items
to address all of these issues.
talentmanagement
Interventions aimed at developing and optimizing the
organization’s workforce productivity.
talentmanagementstrategy
A plan, commitment, and collaboration across the organization
to manage talent.
values
Principles governing how the organization expects to function
in pursuit of the vision and mission.
vision
A statement of the organization’s desired future in terms of
where the organization wants to go and what the
future will be like once it gets there.

10 OD and the Future
Asergieiev/iStock/Thinkstock
LearningObjectives
Examine the emergence of the knowledge society and its
implications for organizations, leaders,
and OD consultants.
Identify the challenges and opportunities presented by
globalization and explain how OD can
improve an organization’s ability to manage these challenges.
Identify the implications of ethical OD practices for leaders and
OD consultants.
Discuss the future of OD.
Chapter 2 featured a vignette about several companies that

failed to change. As a result, their products became
obsolete,andtheylosttheircompetitiveedge.AccordingtoNewman(
2010),thesecompaniesbecameobsessedwith
competinginthepresentandlostsight of the future. In the case of
Blockbuster, not only did the company fail to
anticipatethefuture,itturneddowntheopportunitytobuyNet�lix,wh
ichnowdominatesthemovierentalindustry
throughInternetvideostreaming.WhydidBlockbusterdecidenottob
uyNet�lix?Atthetime,Net�lixwaslosingmoney
(Graser, 2013), and Blockbuster’s management failed to predict
customer preference for Internet-based access to
entertainment.Graser(2013)explains,“Blockbusterchiefslackedth
evisiontoseehowtheindustrywasshiftingunder
thevideorentalchain’sfeet.”Whenorganizationsfailtoanticipatethe
futureandchangetoaccommodateit,theyare
atriskoflosingmarketshareorevengoingcompletelyextinct.
Theaveragelifeexpectancyofamultinationalcorporationis40to50y
ears(deGeus,1997).Veryfewcomeclosetothe
lifeexpectancyofhumans,whichaveragesabout 75 years. By 1983
one third of the companies listed in the 1970
Fortune 500 had vanished, either closing down or succumbing to
acquisitions or mergers. Given these statistics,
informationonpreservingorganizationlongevityshouldbeofinteres
ttomostcompaniesthatwishtosurvive.

InhisbookThe Living Company,
AriedeGeus(1997)examinesthefactorsthatkeepcompaniesalivefor
centuries.The
bookisbasedonapreviouslyunpublishedstudycommissionedbythe
RoyalDutchShellGroup,amultinationaloiland
gascompanywheredeGeusworked.Thecompanywasformedin1907f
romthemergeroftwocompetingcompanies,
RoyalDutchPetroleumandtheShell Trading Company of the
United Kingdom. Incidentally, the word Shell in the
companynamewasderivedfromthefactthatseashellswereusedform
oneyatthetimeintheFarEast.Thepreviously
unpublishedRoyalDutchShellstudyexaminedcompaniesolderthani
tself,i.e.,thosefoundedbeforethe1890s.
TheShellGroupstudyde�inedalivingcompanyascharacterizedbyfo
urtraitsthatbolstertheorganization’sabilityto
benimble,changeready,andhealthy:
1. Sensitivity to the
environment.Thistraitrepresentstheorganization’scapacitytolearn
andadapt.AsdeGeus
(1997)explains,“Aswars,depressions,technologies,andpoliticalch
angessurgedandebbedaroundthem,they
alwaysseemedtoexcelatkeepingtheirfeelersout,tunedtowhateverw

asgoingonaroundthem”(p.6).This
traitisalsocharacterizedbycreatingasenseofharmonybetweentheco
mpanyanditsenvironment.Itisalso
essentialinhelpingtheorganizationchangeeffectivelyasnecessary.
2. Cohesion and
identity.Thistraitistheorganization’sabilitytocreateasenseofbelon
gingamongitsmembers
thatisessentialforsurvivingamidchange.Managersaregenerallypro
motedfromwithin,andtheirpriorityis
thehealthoftheinstitutionasawhole,otherthanduringtimesofcrisis.
3. Tolerance and
decentralization.DeGeus(1997)suggeststhatthesetraitsaresympto
maticofthecompany’s
awarenessofecology:“itsabilitytobuildconstructiverelationshipsw
ithotherentities,withinandoutside
itself”(p.9).Tolerancewasselectedasthemostdescriptiveword,sinc
edecentralizationisamodern
organizingconcept.Thesecompanieswerehighlytolerantofactivitie
sonthemarginsoftheirbusinessthat
wereexperimentalandeccentricandstretchedtheirpossibilitiesforin
novation.
4. Conservative

�inancing.Thistraitcapturestheabilitytocarefullygovernthegrowt
handevolutionofthe
organizationandensurethereiscashonhandtohavethe�lexibilityan
dmeanstoexplorenewventuresthat
areoutofcompetitors’reach.
WhatisremarkableaboutdeGeus’s(1997)�indingsishowtheyparall
elconditionsforcreatingandsustainingchange
in organizations: learning and adapting, commitment to people
and the health of the organization as a whole,
toleranceofexplorationofnewideas,andcareful�inancingtosuppor
texploration.Wherehaveyouobservedthese
traitsinyourexperiencewithorganizations?
Thisbookhasexploredhoworganizationdevelopmentusesplanned
changetohelpindividuals,groups,andorganizationsbecomemore
effectiveandproductive.Ithasexaminedthedynamicsofchangeand
themajorphasesofplannedchangeaccordingtotheactionresearch
process:planning,doing,andchecking.Ithasalsolookedatsomeof
istocksdaily/iStock/Thinkstock
Akeyfactorinpromotinganorganization’s
long-termsustainabilityisitsabilityto

buildrelationshipswiththoseinsideand
outsideitself.
theinterventionsthatariseasaresultofengagingtheODprocessat
theindividual,group,andorganizationlevel.
Inthe�inalchapterofthisbook,itisworthremindingourselvesthat
remain-ing relevant and competitive for the long haul requires
ongoinglearning,re�lection,andcommitmenttochange.ODcanhel
p
organizationsrespondtoshiftingconditionsinwaysthatkeepthem
relevant,competitive,and healthy. Particularly, organizations
need
tobepreparedtocompeteintheknowledgesocietyandrespondtoa
globalizing and changing workforce. OD consultants can help
organizations prepare for and respond to changing contexts by
deliveringqualityconsultingandobservingODethicsandvalues.
10.1EmergenceoftheKnowledgeSociety
The social, political, economical, and cultural world is
interconnected and global. The emergence of technology and
dominance of the creation and sharing of learning is known as

the knowledge society. Also referred to as the
knowledge economy, the knowledge society has replaced the
industrial society. “Knowledge societies are about
capabilities to identify, produce, process, transform,
disseminate and use information to build and apply knowledge
for human development” (Bindé, 2005, p. 27). Embracing the
knowledge society helps organizations develop what
de Geus (1997) termed “sensitivity to the environment” (p. 9) in
the opening vignette. This sensitivity is an
organization’s capacity to learn and adapt.
This shift has implications for organization strategy, challenges,
and interventions. Today we have almost instant
access to vast quantities of global information. Yet information
is not knowledge. Converting information into
knowledge requires critical thinking to distinguish useful from
useless information, as well as new technologies to
connect existing forms of knowledge with new forms.
In developed nations, communications technology and the
Internet mediate the knowledge society. Not everyone,
however, has this access. The gap between those who have
technology and the resources to use it and those who
lack this access is known as the digitaldivide. “Although some
may say the digital divide has been bridged, visiting

impoverished inner-city, small rural, and violence-torn areas
around the globe reveals scores of people who do not
have access to electricity, technology, and the outside world”
(King, 2010, p. 426).
OpportunitiesandChallengesoftheKnowledgeSociety
The key challenges of the knowledge society include
accelerated change, hypercompetition, and creating new
knowledge (Adams, 2012). People are stressed trying to keep up
with the impossible information explosion and
continue learning.
AcceleratedChange
Earlier in this book we drew on Heraclitus’s philosophy to
underscore the adage that change is the only constant. OD
helps an organization plan change so it can respond to the
unexpected and strategize for the future. Friedman noted
in his 2007 book, TheWorldIsFlat,that technological
advancement has resulted in a reality in which
engines can now talk to computers, people can talk to people,
computers can talk to computers, and people can
talk to computers farther, faster, more cheaply, and more easily

than ever before. And as that has happened,
more people from more places have started asking one another
the same two questions: “Can you hear me now?
Can we work together now?” (pp. 198–199)
What pressures have you felt in dealing with the deluge of
information that comes at you daily?
Hypercompetition
In a global context, information overload puts increasing
pressure on organizations to change quickly.
Hypercompetition is typical when new markets or industries
emerge, such as what occurred with smart devices and
apps. Competition may be created through pricing, invading
markets with better or newer products, or creating new
alliances, such as when AT&T purchased DirecTV. New,
innovative technology shifts the rules and creates
competitive advantage and pro�its. These advantages are often
short lived, however, because the competition works
to keep up and ultimately innovates beyond the new product or
service. Hypercompetition puts extreme pressure
on organizations and accelerates the change process. Following
a quality, ethical OD process is imperative in these
situations.

DarrinKlimek/Photodisc/Thinkstock
Technologicaladvanceshave
promotedtheemergenceofthe
knowledgesociety,orknowledge
economy.
ChallengetoCreateNewKnowledge
Needed and valued knowledge society competencies include the
ability to deeply understand and synthesize
information, effectively function interpersonally through soft
skills such as team work, and engage in high-quality
learning (Dumont & Istance, 2010). Chapter 9 discussed
organization learning and learning organizations as
responses organizations make to an increasing knowledge
society. When CEOs talk about increasing human capital,
what they are really discussing is the capacity to generate and
share knowledge through people. In what ways have
you seen or experienced new knowledge creation?
Corporations are not the only organizations that have embraced
the

knowledge society and learning as a strategy. Schools aspire to
become
learning organizations (Senge, Cambron-McCabe, Lucas, Smith,
& Dutton,
2012), and governments, nonpro�it organizations, and
corporations are
coming together to solve social problems using learning
strategically
(Senge, Smith, Kruschwitz, Laur, & Schley, 2008).
KeepingUp
With technological innovations and knowledge explosion comes
the
stress of trying to keep up with impossible volumes of
information and
the need to continue to learn. Information is at our �ingertips
most
anytime and anywhere, making it impossible to keep pace.
According to
Schilling (2013), information doubles every 12 months, soon to
be every 12 hours. Even basic, routine transactions
require new knowledge, such as paying automated parking
meters, self-scanning groceries, checking in for a �light

on a smartphone, or searching online for health information.
BecomingLifelongLearners
Lifelong learning is a self-directed process of seeking
knowledge for personal, professional, or civic enhancement. It
heightens social, emotional, mental, intellectual, community,
spiritual, professional, and economic health. Lifelong
learning is also the best defense against the overwhelming
deluge of information that is available—and growing—
on a daily basis. Since knowledge becomes increasingly
obsolete as new information becomes available every
second, how people learn and teach will likely have to change.
It will be advantageous to develop more �lexible
approaches to learning new knowledge and to question existing
knowledge. Lifelong learning will enable people to
keep up, remain relevant, and contribute to relationships and the
workplace.
WhoInventedThat?MOOCs
A good example of the challenges and opportunities of a
knowledge society is the development of MOOCs
(massive open online courses). MOOCs provide learners
worldwide with an opportunity to build

knowledge on a scale never before seen. An MOOC provides
open access—it is available to anyone with an
Internet connection who wishes to participate.
MOOCs combine traditional learning pedagogy such as
streamed video, readings, and problem solving with
virtual pedagogy such as interactive user forums and web-based
activities to facilitate learning and
community among the participants. It remains to be seen if this
free, open-access innovation will grow to
become recognized as a valid educational option.
To learn more about MOOCs in which you can participate,
check out this top ten list: http://www.bdpa-
detroit.org/portal/index.php/comittees/high-school-computer-
competition-hscc/29-
http://www.bdpa-detroit.org/portal/index.php/comittees/high-
school-computer-competition-hscc/29-education/57-moocs-top-
10-sites-for-free-education-with-elite-universities.html
education/57-moocs-top-10-sites-for-free-education-with-elite-
universities.html (http://www.bdpa-

competition-hscc/29-education/57-moocs-top-10-
sites-for-free-education-with-elite-universities.html).
TheRoleoftheODConsultantintheKnowledgeSociety
OD consultants can play a range of roles when helping
organizations address knowledge society challenges. Refer
back to the characteristics of the living company presented in
the opening vignette. You could apply those steps as
OD interventions with clients to cope with the knowledge
society: being sensitive to the environment and learning
and adapting to it, promoting organization cohesion and unity in
the face of change, building tolerance and
constructive relationships with multiple entities, and adopting
conservative �inancing that helps govern and fund
careful growth.
There are many other ways OD consultants help organizations
cope with the knowledge society. One is to work with
them to design ways to capture and share learning related to
their processes and products. Another is to anticipate
group and team dynamics issues that might arise, given the
challenges of a knowledge society. Consultants can also
help organizations plan ways to respond to technological and
web evolutions, such as creating a social networking

strategy or using collaborative virtual tools for meetings and
training. Technology may also be able to assist change
efforts through new communication, training, and meeting
modes.
TakeAway10.1:EmergenceoftheKnowledgeSociety
The knowledge society, or interconnectivity of the social,
political, economical, cultural, and global
world, has created information overload and technological
innovation.
The knowledge society presents both opportunities and
challenges, including accelerated change,
hypercompetition, new knowledge creation, pressure to keep up,
and the need to become lifelong
learners.
Consultants can support organizations in the knowledge society
by helping them �ind ways to
capture and share learning and respond to new challenges using
the action research process to
solve problems.

LucianoLozano/Moment/GettyImages
Globalizationiscreatingnew
opportunitiestoconnectand
collaboratearoundtheworld.
10.2GlobalizationandtheChangingWorkforce
Boundaries are more permeable than ever before. Goods and
services cross borders and cultures easily. Your
morning coffee may come from Colombia; your clothing may
come from China; and the person processing your
order may work at a call center in India. This exchange of goods
and services across countries and cultures is called
globalization.
International commerce has existed for centuries. What
distinguishes
today’s global market, however, is its speed and intensity, or its
shift from
“connected to hyper connected” (Friedman, 2011). To survive,
organizations must develop work teams able to collaborate
virtually
across borders and time zones. Globalization also challenges

organizations to be accountable to workers and communities in
distant
regions, as well as to the global environment. Although global
markets
bring a wide variety of products and services to a large
audience, their
drawbacks include environmental destruction, pollution, and the
exploitation of workers, including child labor. Such drawbacks
have
intensi�ied pressure to hold corporations accountable for their
impact on
communities and the environment. Given the pace and scope of
globalization across national, social, political, economic, and
cultural
borders, it is becoming more incumbent on organizations to
advocate
social responsibility and sustainability (Scherer, Palazzo, &
Matten,
2010).
GrowthofOutsourcing
The notion of globalization may call to mind the outsourcing of
manufacturing to low-income, low-wage countries, or mega
multinational corporations that operate worldwide with

little accountability or regulation. Outsourcing is the
transferring of portions of production to outside suppliers as a
means of cost reduction.
Outsourcing challenges how we de�ine organization boundaries
and our assumptions about work and organizations.
Temporary, contract, and other contingent workers now carry
out work that was once done only by full-time,
permanent employees. Teams are quickly and easily assembled
across global boundaries and just as easily
disbanded when the work is �inished. Work colleagues and
customers are more diverse than ever before, which
creates more opportunities for innovation and creativity but also
miscommunication and misunderstanding.
Expectations for productivity and results are high. These
dynamics put pressure on employees and organizations.
Consultants bring an understanding of the human dynamics of
change and are attuned to the social costs and
bene�its of the organizational challenges that accompany
globalization and outsourcing.
GrowthinCulturalDiversity
As the world seems to get smaller through globalization and the
increased communication capacity afforded by

technology, people are more aware than ever of the diversity of
the world’s 7 billion people. The population is aging
and growing, and many nations are challenged with increased
cultural and ethnic diversity, including the United
States. According to the latest U.S. Census (Humes, Jones, &
Ramirez, 2011), from 2000 to 2010 the Hispanic
population accounted for 43% of the total population growth,
Asians 43.3%, and African Americans 12.3% (Humes
et al., 2011). Such demographic changes create both tensions
and opportunities. Tensions arise as cultural and
ethnic groups are faced with preserving their culture and
language versus adopting the norms of the dominant
culture. Opportunities to collaborate, innovate, and learn
abound with these shifts.
Although it is impossible to categorize all of the nuances of
culture, some authors have attempted to highlight the
range of cultural differences, such as Hofstede’s dimensions of
culture (Hofstede, Hofstede, & Minkov, 1991). This
work began in the 1960s with survey research on attitudes and
values of people in 40 different countries, with more
recent research including 76 countries. Hofstede and colleagues
(1991) distinguished six cultural dimensions

known as power distance, uncertainty avoidance, individualism
versus collectivism, masculinity versus femininity,
long-term versus short-term orientation, and indulgence versus
restraint. The dimensions are summarized in Table
10.1.
Table10.1:Hofstede’sdimensionsofculture
What dimensions have you noticed in cultures to which you
belong and with which you interact?
GrowthinAge-RelatedDiversity
Around the globe, the population is dramatically aging. Fertility
has declined in industrialized nations as longevity
has increased, creating an effect such that “in less than 10
years, older people will outnumber children for the �irst
time in history” (Withnall, 2012, p. 650). Eleven percent of the
world’s population was made up of older adults in
2010, but that number is expected to grow to 22% by 2050
(World Economic Forum, 2012).
MultipleGenerations

Today’s U.S. workforce represents four distinct generation
groups that have different values and mindsets (Gesell,
2010; Hahn, 2011). When these multiple generations work
together, conditions are ripe for misunderstanding each
other (Ulrich, 2001). The four generational groups are (dates are
ranges that vary according to source):
1. traditionalists, born in or before 1945;
2. baby boomers, born 1946 to 1964;
3. generation X, born 1965 to 1976; and
4. the millennials, also called generation Y, born 1977 to 1997.
Multigenerational issues intersect with the knowledge society,
globalization, technology, and cultural diversity.
These dynamics affect the people who work in organizations
and may create innovation, con�lict, challenge, learning,
and of course change due to different work styles values,
beliefs, attitudes, and culture. Table 10.2 compares certain
characteristics of each group. Bear in mind that these are
generalizations; that is, they are not descriptive of every
person within the population. Each generation’s individuals
have unique personalities, values, and life experiences.
Table10.2:Generationaldifferences

Generation Characteristics Information
consumptionand
in�luences
Workexpectations
Traditionalists
(also called the silent
generation, the greatest
generation, veterans, or
seniors)
Diminishing in
the workforce
due to
retirements
Solid and
reliable
Value
consistency
Change is
challenging
Loyal

Newspaper
Radio
Movie theaters
Authority �igures are
to be obeyed
Achievement
depends on hard
work, obeying rules
Rewards for their
commitment and
loyalty
Comfortable with
delayed recognition
and reward
consumptionand
in�luences
Workexpectations

Baby boomers Largest group in
workforce
Loyal with a
strong sense of
duty
Optimistic
Known as
workaholics
Grew up in
nuclear families
Tend to be
managing or are
managed by
people young
enough to be
their children
Natural change
agents
Strong work
ethic
Television
Visual news
stories about
civil rights,

Vietnam War,
and Apollo 11
moon landing
Team oriented
Empowerment
Seek personal
grati�ication and
growth
Dynamic work
environment
Equate work with
self-worth
Arrive early, engage
in overtime as a
moral obligation
Generation X
(also called the “sandwich
generation” due to its
position between two large
generational groups)
Smallest

generation
Independent
Global thinkers
Self-directed
Techno-savvy
Latchkey
generation
Self-suf�icient
Adaptable to
change
Self-reliant
Resourceful
Balanced
Media
Expanding
technology
MTV and video
game era
Videocassette
recorder
Advent of home
computers
during lifetime

Appreciate and seek
quality of life
Prefer action over
talk
Value balance, fun,
informality
Require individual
positive feedback
and recognition
Thrive on challenge
Want to lead and
follow
Embrace self-
governance
Prefer to work alone
rather than on a
team
consumptionand
in�luences
Workexpectations

Millennials, generation Y Will become
largest
generation
Less than half of
today’s
workforce
Con�ident
Optimistic
Sociable
Accept
multiculturalism
Value change
Open minded
Strive to be part
of greater good
High sense of
civic duty and
morality
Technology
Instant
communication
Cell phones
Social

networking
Flexible work
schedules
Life balance
Inclusivity
Can-do attitude
Multitasking
Goal oriented
Embrace teamwork
Have solid trust in
authority
Want to understand
“why?”
Need ongoing
feedback
Less adept at reading
nonverbal cues and
understanding social
context cues for
appropriateness
Source:AdaptedfromGesell,2010,andHahn,2011.
What is your generation? Do you agree with the descriptions?

TipsandWisdom
Gesell (2010) offered some OD interventions that help avoid or
minimize intergenerational con�lict:
Facilitate open dialogue among the generations. OD consultants
are usually skilled dialogue
facilitators and can help organizations learn how to have
multigenerational conversations. When
leaders understand generational differences, they can lead the
different groups according to their
needs and expectations.
Help organization members explore generational differences
through formal OD interventions in
which each generational group shares information about its
history. Types of information might
include:
1. historical events of the generation;
2. trends, people, and popular culture of the time;
3. key values of the generation;
4. key challenges of the generation;
5. perceptions of other generations;
6. bene�its and challenges of working with other generational

groups; and
7. things they wish other generations knew about them.
Several of the team-building and con�lict-management
interventions discussed in Chapter 8 would
also be effective for working with multigenerational groups.
AnAgingandShrinkingWorkforce
An aging population has implications for the U.S. workforce. It
means that multiple generations work side by side,
which can create con�licts in work values and expectations. It
also increases the need for talent management to
ensure that people working later in life continue to be
challenged.
Moreover, although a higher percentage of older workers are
now staying in the workforce, when the baby boomer
generation begins to retire in large numbers, a signi�icant labor
shortage will occur. According to employment
predictions published by the U.S. Department of Labor (2013),
the country is facing a workforce shortage that will
potentially slow economic growth in the next decade. Although

annual economic growth is predicted to be 0.7%, the
workforce is predicted to grow at only 0.5% per year. Workers
age 55 and older will make up more than 25% of the
workforce in 2022. The overall decline in the labor force
participation rate will be from 63.7% in 2012 to 61.6% in
2022, with declines predicted for both women and men. Job
openings are predicted to be 50.6 million in total, with
67.2% of those jobs coming from replacement needs. A
shrinking workforce will require talent management,
especially in the areas of attracting and retaining workers.
Competition may drive wages higher and force
organizations to offer more bene�its and incentives in order to
retain employees.
OpportunitiesandChallengesofGlobalization
Globalization has created several positive opportunities for
organizations, countries, and citizens. First, it has
accelerated economic growth, particularly in poor countries. It
has helped bolster wages and redistribute wealth,
while also improving product quality. Globalization has also
helped reduce poverty; for example, between 1993 and
1996, the number of people living on less than $1 per day
(absolute poverty as de�ined by the World Bank) declined
from 432 million to 267 million (Griswold, 2000). Globalization

has raised the standard of living and brought better
medical care and education to remote and impoverished places.
Global adoption of technological innovations has
improved global commerce, communications, and cultural
exchanges.
Globalization has also created challenges. It has been blamed
for increasing child and unfair labor practices,
environmental destruction, and the gap between the world’s
richest and poorest citizens. Within organizations, it
has intensi�ied expectations for workplace �lexibility and
virtual of�ice arrangements, requiring different measures
of communication and performance in these environments.
Globalization is also creating new challenges for
communicating across languages, geographical borders, and
cultures. This is also met by increasing need to develop
leaders who can be effective in multiple environments.
TheRoleoftheODConsultantinGlobalization
OD helps organizations respond to the challenges of
globalization by using the action research process to identify
problems and opportunities and to improve functionality,
particularly in virtual communications and work
practices. Group and team interventions, discussed in Chapter 8,

can particularly help organizations manage the
con�licts and differences that arise with a globalizing
workforce.
TipsandWisdom
Globalization complicates leadership across national,
geographical, and cultural boundaries and therefore
requires organization leaders—and OD consultants—to think
systemically about organization challenges
and strategies. Consult the research journal
InternationalJournalofComplexityinLeadershipand
Managementto learn more about issues related to leading in
global context:
http://www.inderscience.com/jhome.php?jcode=ijclm(http://ww
w.inderscience.com/jhome.php?
jcode=ijclm).
http://www.inderscience.com/jhome.php?jcode=ijclm
OD interventions can also bolster capacity to facilitate
multilingual written and verbal communication, including by
recruiting and retaining a multilingual workforce. Organizations
will also be challenged to embrace cultural

differences and �ind ways to create synergies on increasingly
diverse work teams. OD consultants need to
understand multiple cultural norms so they can help
organization members work together effectively.
TakeAway10.2:GlobalizationandtheChangingWorkforce
Globalization, the exchange of goods and services across
boundaries and cultures, has prompted
the growth of outsourcing.
Globalization has heralded increases in cultural diversity,
including shifts in age-related
demographics, multiple generations working side by side, and a
shrinking workforce.
Challenges of globalization include increasing child and unfair
labor practices, environmental
destruction, and inequality. Opportunities presented by
globalization include increasing
technological innovation, communicating instantaneously,
accelerating economic growth,
bolstering wages, redistributing wealth, and improving product
and service quality.
OD consultants support globalizing organizations by helping
them identify and capitalize on
globalization’s opportunities while meeting its challenges.

10.3ODEthicsandValues
Discussions of OD values, practices, and purposes have been
ongoing since the �ield’s inception (Minahan & Norlin,
2013). OD is founded on a humanistic ethic that seeks to
develop individuals and the organization in positive,
productive ways. This section examines ethics in the workplace,
ethical guidelines for consultants, corporate social
responsibility, and the role of OD consultants in upholding
ethical practice.
EthicsintheChangingWorkplace
In a 2013 survey, only 21% of Gallup Poll respondents rated
business executives as having high ethical standards
(Pastin, 2013). This indicates that both leaders and consultants
need to work to ensure that ethical OD is in practice
and perceived as such by employees. Serving as ethical role
models is not easy in a workplace riddled with ethical
dilemmas. Ethics challenges arise daily in organizations and
become even more pronounced when change is in
progress and employees are on edge. Typical ethical dilemmas

during change might include interpersonal con�licts,
misunderstandings, differences in values or goals, or
disagreements over the best courses of action when solving
problems. You might observe behaviors such as withholding
information, unfair treatment of employees, others
taking credit for work that is not theirs, harassment, bullying,
gossiping, or lying. What types of unethical behavior
have you witnessed or experienced?
Pastin (2013) identi�ied different ways people handle ethical
issues at work. These include:
1. Conformity. Conformists follow rules and do not question
authority �igures. They do not want to rock the
boat. Although conformists might be perceived as always doing
the right thing, they might also look the
other way in the presence of unethical behavior by individuals
higher up in the organization hierarchy.
Conformists may experience ethical con�licts in organizations
that lack strict rules and clear consequences
for not following them.
2. Negotiation. Negotiators make up rules as they go about
organization change. When confronted with a
questionable situation, such as a colleague handling personal

matters on company time, negotiators will
take a wait-and-see approach to see if the consequences of the
colleague’s behavior worsen or affect them
negatively. Negotiators experience ethical con�licts when they
are required to make decisions without
guidelines, because they change the rules according to what
seems easiest at the time.
3. Navigation. Navigators follow an internal compass to guide
their actions when confronted with unethical
behavior. They usually have an innate sense of right and wrong
and rely on it. They are willing to make
unpopular choices by following this moral compass. Navigators
can be natural leaders and earn their
colleagues’ respect and con�idence. Navigators tend to succeed
in most organizations and will leave those
they believe to be unethical.
4. Wiggling. Wigglers do not follow a moral compass. They
take the route that gives them the most advantage.
Motivated by self-interest, wigglers will engage in what most
would perceive as unethical behavior, such as
lying, if it will help them gain favor with a supervisor or avoid
con�lict with a colleague. Wigglers get into
trouble when others regard them as dodging ethical issues to

protect themselves.
Assessment:WhichEthicalTypeAreYou?
Take this assessment to understand what your ethical tendency
is. Your ethical style is not permanent, so
you can use this information to help you make more ethical
decisions.
http://www.healthethicstrust.com/otjet(http://www.healthethicst
rust.com/otjet)
http://www.healthethicstrust.com/otjet
TheRoleoftheODConsultantinUpholdingEthicalGuidelines
Conducting OD inevitably raises ethical issues, and one of the
consultant’s roles is to ensure that the process
upholds OD ethics and standards. The OD code of ethics was
presented in Chapter 1. Throughout this code, you can
see OD’s humanistic orientation in the way it emphasizes
quality of life, health, justice, dignity, win–win outcomes,
holistic perspectives, and participative decision making:
http://www.isodc.org(http://www.isodc.org).

Nekoranec (2009) views the OD consultant’s role as holding
leaders acco-untable for ethical behavior so that
interventions are ethical and legally acceptable. He notes it is
important for OD consultants to ask leaders, “Will this
course of action generate the right outcome?” De Geus (1997)
notes that leaders should preserve the health of the
whole organization during change, which is also an ethical
imperative.
Nekoranec (2009) identi�ied three themes for leaders’ ethical
actions when making decisions. OD consultants can
ask leaders questions around each of these themes as they help
clients navigate the ethics of change. Leaders can
use some or all of these when making decisions. These themes
include:
1. Personifying espoused values
a. Taking on a role as ethical vanguard
b. Acting with integrity to do the right thing
c. Re�lecting on courses of action
d. Speaking honestly and frankly about issues
e. Learning from the past
f. Leading inclusively
g. Serving as a role model of values

h. Showing and explaining emotions: OD consultants might ask
clients, “How will employees perceive your
values as we go about this change?”
2. Building relationships for harmony and purpose
a. Supporting people and helping them bring out their best
b. Respecting others
c. Sharing information
d. Earning trust in leadership
e. Maintaining a visible pro�ile and being approachable: OD
consultants might ask clients, “How will your
employees achieve greater harmony and purpose as we go about
this change?”
3. Working for mutually bene�icial solutions
a. Getting the facts honestly and openly
b. Seeking counsel to clarify thinking
c. Knowing the legal parameters
d. Listening to employees’ feelings and thoughts
e. Negotiating the information-gathering process
f. Challenging the organization to �ind a more effective
solution: OD consultants might ask clients, “How will

you help employees achieve mutually bene�icial outcomes as
we go about this change?”
Nekoranec (2009) also identi�ied two types of leadership styles
that make achieving ethical outcomes more
problematic for OD consultants. The �irst is bad leadership that
will result in ineffectual outcomes or unethical
leadership. Bad leadership is usually incompetent, rigid, and
intemperate. In such cases Nekoranec advises OD
consultants to move on to other clients. The other type of
problematic leadership style is ethically neutral. Although
these leaders may support ethical OD interventions, they are
generally not accustomed to ethical practice. They
need to be reminded of ethical issues and the importance of
ethical outcomes through coaching and direct nudging
from the consultant.
http://www.isodc.org/
HoldingOurselvesEthicallyAccountableasODConsultants
Before we can be both worker and organization advocates, we
need to think about our own ethics and
responsibilities. Cheung-Judge (2012) recommends that OD

consultants own, re�ine, and integrate self-knowledge to
remain sharp; they should do this by developing lifelong
learning habits, working through issues of power, building
emotional and intuitive self-awareness, and committing to self-
care.
Gellerman, Frankel, and Landenson (1990) present ethical
guidelines for OD consultants that are worth re�lection
and consideration. They note that ethical OD practice is
represented by:
1. Upholdingresponsibilitytoourselves. This occurs when
consultants carry out OD with integrity and
authenticity, continually pursue self-development, and uphold
individual interests in a fair and equitable
way. It is dif�icult to advocate change for others if we are not
actively engaged in changing and developing
ourselves.
2. Beingresponsibleforprofessionaldevelopmentandcompetence.
Taking this responsibility means we are
accountable for our actions, committed to our own continuous
learning and development, and dedicated to
maintaining our professional competencies. In essence, as OD
consultants, we have to practice what we

teach!
3. Beingresponsibletostakeholders. This responsibility involves
seeking the long-term well-being of OD
stakeholders (such as employees, customers, community, and
the environment) and conducting ourselves
with honesty, responsibility, and integrity. This means asking
tough questions and upholding the consulting
role of authenticity with the client.
4. Beingresponsibletotheprofession. This responsibility entails
contributing to the OD knowledge base,
promoting sharing of knowledge and learning, and respecting
other OD professionals.
5. Consideringtheconsequencesofouractions. This social
responsibility is concerned with both the client and
the larger social system; it involves carrying out OD with
cultural sensitivity and social justice.
Practicing the OD code of ethics and following Gellerman,
Frankel, and Landenson’s (1990) guidelines will position
consultants to advance OD well into the future.
TipsandWisdom

Shepard (2006) offered the following advice for OD
consultants:
1. Stay alive.
2. Start where the system is.
3. Never work uphill.
4. Do not build hills as you go.
5. Work in the most promising arena.
6. Do not use one when two could do it.
7. Do not overorganize.
8. Do not argue if you cannot win.
9. Play God a little.
10. Innovation requires a good idea, initiative, and a few
friends.
11. Load experiments for success.
12. Light many �ires.
13. Keep an optimistic bias.
14. Capture the moment.
CorporateSocialResponsibility:PromotingODValuesinaChanging
Workplace

OD plays a unique role in organizations: It is in a position to
champion workers’ needs while also addressing
organization needs that might range from recruitment to
termination of the employment relationship. OD can also
help the organization improve its processes, services, and
products in a way that bene�its all stakeholders and
ensures organization health.
TipsandWisdom
A key way to think about OD is as a process of improving
human systems, as noted in the Organization
Development Network’s (n.d.) Strategic Plan: “Organization
Development is a �ield central to creating
effective and healthy human systems in an inclusive world” (p.
3).
Holding organizations accountable for the footprint they leave
on people, communities, and the environment is
known as corporatesocialresponsibility (CSR). CSR movements
often tout sustainability, the idea that the
business uses renewable energy, has a minimal impact on the
environment, and adopts humane workforce practices.
CSR and sustainability are directly linked to globalization and

concerns about how it exploits people and places
(Bierema & D’Abundo, 2004).
Fenwick and Bierema (2008) interviewed human resource
development (HRD) executives from high-pro�ile
Canadian and U.S. corporations to understand how they
perceived their roles and challenges in implementing CSR.
They found that participants’ engagement centered on employee
learning and promotion, employee ownership of
development, and employee safety and respect. Overall,
however, HRD appeared to be only marginally involved or
interested in the �irms’ CSR activities. Because OD falls under
the HRD function in many organizations, these results
should be cause to examine how OD interprets an organization’s
commitment to CSR. Given the inherent risks of
global commerce, individuals and organizations are under more
pressure to behave responsibly. OD’s humanistic
philosophical orientation, discussed at length in Chapter 1,
positions the process to take a humane approach to
organization change, making OD more relevant today than ever
before.
CaseStudy:CorporateSocialResponsibilityatCarCO
Lauren has enjoyed working at CarCO as the plant manager. She

is currently being groomed for a
promotion to oversee manufacturing operations at multiple
plants. Lauren is looking forward to the
challenge of having more responsibility and has several ideas
she wants to implement, especially after
attending a leadership development program over the past year.
She has become involved with a local
environmental nonpro�it in her free time and has become
increasingly concerned with environmental
conservation and pollution control. As plant manager, she has
implemented several conservation programs
that lessened the plant’s carbon footprint.
As Lauren transitions into her new role, she is invited to a
corporate strategic planning meeting to assess
manufacturing capacity and future growth. During the meeting,
some of the executives begin to discuss the
logistics of expanding production at one of the plants that will
fall under Lauren’s responsibility. One of the
issues is wastewater treatment and whether the plant can comply
with industry standards and still be
productive. Although the company can easily comply with
federal standards, the new industry standards
are environmentally stricter and more costly to implement. The
community and environmental groups are

pressuring the company to adopt the higher industry standards;
moreover, the executives acknowledge
that, in the long run, this is probably the direction federal
regulation would go.
The discussion is quite lively, and it becomes clear that the
majority are in favor of the lesser, cheaper
wastewater treatment options that merely meet federal
compliance. The issue is never resolved, and
Lauren is left wondering what her options are and whether she
should raise the issue or do what she
thinks is right when the time comes for her to take over
operations.
1. What are the ethical issues in this case?
2. What would be the socially responsible response?
3. How might this ethical issue be handled from each of the four
perspectives offered by Pastin
(2013): conformity, negotiation, navigation, and wiggling?

4. If you were brought in to work with Lauren and the
executives around this issue, what OD
approaches would you recommend?
ODintheFuture
What is the future of OD? Cummings & Worley (2009) predict
it will be more widely adapted across a range of
organizations and be more involved in supporting technological
and managerial innovation. OD will also take on
more diversity and inclusion issues and focus more on
ecological sustainability. OD has helped organizations adapt
and change for more than 50 years. If OD is to replicate the
success of the companies pro�iled by de Geus (1997), the
�ield will need to �ind ways to continually learn and adapt,
commit to sustaining the health of the organization and
its workers, explore new ideas, and invest in new theories and
practices that work. Given its humanistic value
system, it is �itting for OD to �ind ways to help organizations
meet mounting expectations for corporate social
responsibility and sustainability.
OD’s key contribution is to help human systems learn and
change (Minahan & Norlin, 2013). Is there a place for OD

in the future? Absolutely. As Hamel and Breen (2007) assert,
for organizations to be healthy for the future, they need
to be healthy for human beings. Creating healthy organizations
for healthy human beings is how OD makes a
difference.
TakeAway10.3:ODEthicsandValues
OD ethics and values help uphold OD’s humanistic stance. OD
consultants can remind leaders to
prioritize ethics during change.
OD consultants should uphold the OD code of ethics and hold
clients accountable for ethical
leadership.
Corporate social responsibility is the process of holding
organizations accountable for their effects
on people, communities, and the environment.
In the future, OD will continue to create healthy organizations
for healthy human beings.
Graeme Wise, managing director of The Body Shop Australia,
discusses the organization's commitment to ethics and
corporate social responsibility.

TheBodyShopandCorporateSocialResponsibility
The Body Shop and Corporate Social Responsibility
From Title: Ethics and Social Responsibility in Business
(https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xti
d=33436)
https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid
=33436
SummaryandResources
ChapterSummary
The knowledge society, or interconnectivity of the social,
political, economical, cultural and global world, has
created information overload and technological innovation.
The knowledge society presents both opportunities and
challenges, including accelerated change,

hypercompetition, new knowledge creation, pressure to keep up,
and the need to become lifelong learners.
Consultants can support organizations in the knowledge society
by helping them �ind ways to capture and
share learning and respond to new challenges using the action
research process to solve problems.
Globalization, the exchange of goods and services across
boundaries and cultures, has prompted the growth
of outsourcing.
Globalization has heralded increased cultural diversity,
including shifts in age-related demographics,
multiple generations working side by side, and a shrinking
workforce.
Challenges of globalization include increasing child and unfair
labor practices, environmental destruction,
and inequality. Opportunities presented by globalization include
increasing technological innovation,
communicating instantaneously, accelerating economic growth,
bolstering wages and redistributing wealth,
and improving product and service quality.
OD consultants support globalizing organizations by helping
them identify and capitalize on globalization’s
opportunities while meeting its challenges.
OD ethics and values help uphold its humanistic stance. OD
consultants can remind leaders to prioritize

ethics during change.
OD consultants should uphold the OD code of ethics and hold
clients accountable for ethical leadership.
Corporate social responsibility is the process of holding
organizations accountable for their effects on
people, communities, and the environment.
In the future, OD will continue to create healthy organizations
for healthy human beings.
1. Minahan and Norlin (2013) suggest that the current
workplace context raises questions for OD
practitioners, such as: How do we negotiate the needs of the
individual versus the needs of the organization?
What should OD’s value orientation be? What are the
consequences of OD’s humanistic values? How can we
be honest with clients about our concerns and anxieties about
working in current workplace context? Who
gets to de�ine what makes effective OD? Re�lect on these
questions and formulate your own answers.
2. Think of a time when a failure to change impacted your life.
The failure can be yours or another person’s and
can relate to a product, process, relationship, expectation, or

outcome. What was the outcome? What did you
learn?
3. Review this article on General Motors’ disastrous ignition
switch recall and identify the key ethical issues:
http://www.nytimes.com/2014/03/25/business/carmaker-misled-
grieving-families-on-a-lethal-
�law.html?_r=0(http://www.nytimes.com/2014/03/25/business/c
armaker-misled-grieving-families-on-a-lethal-
�law.html?_r=0).
1. Go to the Miniature Earth site (http://www.miniature-
earth.com(http://www.miniature-earth.com)) and
write a one-page summary of issues you identify and their
implications for workplaces and OD.
2. Check out an OD professional and her re�lections on her
path and work: Pro�ile in OD: ChiefLearningOf�icer
Magazine features Tonya Cornelius, VP of Learning and OD for
ESPN:
http://clomedia.com/articles/view/espn-s-top-play-
learning(http://clomedia.com/articles/view/espn-s-
top-play-learning).

http://www.nytimes.com/2014/03/25/business/carmaker-misled-
grieving-families-on-a-lethal-flaw.html?_r=0
http://www.miniature-earth.com/
http://clomedia.com/articles/view/espn-s-top-play-learning
3. Go to the U.S. Department of Labor website
(http://www.dol.gov(http://www.dol.gov)) and search topics
that interest you. What did you search? What did you learn?
4. Review the Organization Development Network: The
Essential Elements of OD Curricula:
http://www.odnetwork.org/?page=EssentialElements(http://www
.odnetwork.org/?
page=EssentialElements).
5. Consider the case of the Sriracha hot sauce plant discussed in
this article
(http://america.aljazeera.com/articles/2013/10/29/sriracha-
lawsuitmaymakeprices
jumpreport.html(http://america.aljazeera.com/articles/2013/10/2
9/sriracha-
lawsuitmaymakepricesjumpreport.html)) and identify the key
ethical and corporate social responsibility

issues.
AdditionalResources
WebLinks
Business Ethics Case Studies, resources on business ethics.
http://www.web-miner.com/busethics.htm(http://www.web-
miner.com/busethics.htm)
CorporateResponsibilityMagazine, a publication that focuses on
sustainable, responsible business practices.
http://www.thecro.com(http://www.thecro.com)
Hofstede Centre, for more about Geert Hofstede’s work on
culture.
http://geert-hofstede.com(http://geert-hofstede.com)
Monthly Labor Review, U.S. Department of Labor, for reports
on labor trends.
http://www.bls.gov/opub/mlr/2013/article/overview-of-
projections-to-2022-1.htm

(http://www.bls.gov/opub/mlr/2013/article/overview-of-
projections-to-2022-1.htm)
MOOCS: Top 10 Sites for Free Education with Elite
Universities.
school-computer -competition-hscc/29-
education/57-moocs-top-10-sites-for-free-education-with-elite -
universities.html (http://www.bdpa-
competition-hscc/29-education/57-moocs-top-10-sites-for-
free-education-with-elite-universities.html)
Organization Development Network: The Essential Elements of
OD Curricula.
http://www.odnetwork.org/?page=EssentialElements(http://www
.odnetwork.org/?page=EssentialElements)
Trompenars Seven Dimensions of Culture, another model for
understanding culture.
http://www.mindtools.com/pages/article/seven-dimensions.htm
(http://www.mindtools.com/pages/article/seven-

dimensions.htm)
Media
SummitontheFutureoftheCorporation(AriedeGeusisoneofthespea
kers)
https://www.youtube.com/watch?v=3iKdesdRojo(https://www.y
outube.com/watch?v=3iKdesdRojo)
ThePowerandPromiseofDiversity:SAP
http://www.dol.gov/
http://www.odnetwork.org/?page=EssentialElements
http://america.aljazeera.com/articles/2013/10/29/sriracha-
lawsuitmaymakepricesjumpreport.html
http://www.web-miner.com/busethics.htm
http://www.thecro.com/
http://geert-hofstede.com/
http://www.bls.gov/opub/mlr/2013/article/overview-of-
projections-to-2022-1.htm
http://www.odnetwork.org/?page=EssentialElements

http://www.mindtools.com/pages/article/seven-dimensions.htm
https://www.youtube.com/watch?v=3iKdesdRojo
https://www.youtube.com/watch?v=0P9M-
1eEQFM(https://www.youtube.com/watch?v=0P9M-1eEQFM)
Boomers,GenXandGenY:MultigenerationalWorkforce
http://youtu.be/RGNiXMlLzO8(http://youtu.be/RGNiXMlLzO8)
KeyTerms
corporatesocialresponsibility(CSR)
The movement toward holding organizations accountable for the
footprint they leave on people, communities,
and the environment.
digitaldivide
The gap between people, communities, or countries with ready
access to technology and the resources to use it
versus those without technological access and knowledge.
globalization
The exchange of goods and services across boundaries and

cultures.
outsourcing
Transferring portions of production to outside suppliers as a
means of cost reduction.
sustainability
The idea that business can be maintained by using renewable
energy, having a minimal impact on the
environment, and employing humane workforce practices.
https://www.youtube.com/watch?v=0P9M-1eEQFM
http://youtu.be/RGNiXMlLzO8
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Q 1. SEC 435 Week 6 Discussion
"Macs and Viruses" Select one of the following and discuss in
no less than three paragraphs, and have at least one response to
another student of at least one paragraph:
· A common misconception with Mac OS X systems is that they
are not as susceptible to viruses and malware as PCs and
therefore do not require users to apply additional security
measures. Discuss whether or not you believe this is true.
Provide a rationale for your response.
· Review current Mac security features from Apple’s website
located at http://www.apple.com/macos/security, and read the
article 10 Best Antivirus for the Mac
at http://techtop100.com/9-best-antivirus-for-mac-do-macs-
need-antivirus-best-free-mac-antivirus. Select two tools, and
research their features, functionality, provided protections,
mitigated risks, costs, and any other pertinent information.
Evaluate the quality of at least two of the selected Mac security
tools, based on their available features, functionality, provided

protections, mitigated risks, costs, and any other pertinent
information discovered in your research. Decide whether or not
you would recommend either of the tools for a Mac user. Justify
your response.
· Any current topic or article related to penetration techniques.
· The instructor insight from this week, or from last week
related to hidden wifi ssids
Q 2. SEC 435 Week 7 Discussion
"Mobile Malware" Select one of the following and discuss in no
less than three paragraphs, and have at least one response to
another student of at least one paragraph:
· Determine whether or not you believe both that mobile
malware is the new frontier for virus makers and hackers and
whether or not mobile device security concerns will surpass
those of standard computing devices over the next five years
(e.g., desktops, servers, etc.). Justify your response.
· Analyze the mobile device OS that you believe is the easiest
to hack. Additionally, explain the ineffective security features
that are utilized by this specific mobile device OS, and indicate
the key reasons why you believe the security feature is failing
to provide better protection. Provide a rationale for your
response.
· Any current topic or article related to penetration techniques.
· The instructor insight.

Q 1. SOC 450 Week 6 Discussion
Title:FeedingtheWorldThis week you learned that there is, in
fact, enough food available to feed everyone in entire world
every day. However, this is not happening for various reasons
so what are some of them? (No less than two paragraph)
> Share ideas on why food accessibility is such an issue in the
world.
Q 2. SOC 450 Week 7 Discussion
Title: The Evolution of a Technological

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