Ethical Consulting: A company that needs help with implementing a process you have little familiarity with has contacted you. Although you could most likely learn it, you would not be a subject matter expert in the period in which they need you. You are certain you could learn the process and could use the extra income, as your consulting has been a little slow. What are the implications for deciding not to take the assignment? What are the implications for taking the assignment? What would you do and why? 3 The OD Consultant Digital Vision/Thinkstock Learning Objectives After reading this chapter, you should be able to: • Define 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 73 6/30/14 10:27 AM  The employees of the QuickCo shipping department are at each other’s throats. The department’s 10 employees have always worked long hours striving to fill customer orders on time. But over the past year or so, the workload has increased and the pressure to keep up has become incessant. The employees have strong personalities, and as multiple orders start backing up, their stress levels rise, their tempers flare, and they say disrespectful things. People are on edge, interpersonal conflicts have developed, and no one seems very happy. Cameron Whitman/iStock/Thinkstock Work on the QuickCo shipping dock was disrupted by interpersonal conflicts. The supervisor of the department, Ned, is an easygoing guy who has taken a laid-back approach to the mounting stress levels and conflicts. His mantra is “Let’s not get emotional here. We’ve got work to do, so let’s get back to it.” Ned’s avoidance strategy is not helpful. The festering discontent and conflicts are reducing the department’s ability to ship accurate orders on time. Absenteeism is up, morale is down, and people do not communicate with or help each other as they used to. When problems arise, no one speaks up because of the bad feelings that have developed and the resignation that Ned will not do anything about it anyway. So resentment builds. Ned is feeling pressure from other departments as customers’ complaints about inaccurate and late orders mount. The manufacturing manager, Sarah, calls the shipping department supervisor into a meeting. “Ned, your department’s performance for accurate, on-time delivery is plummeting,” Sarah says. “I looked back at the order procurement for the past year and your trend has been steadily downward. The past quarter is even worse. Customer complaints are rising, and other department heads are complaining. What is going on here?” Ned replies, “We work like crazy, Sarah, but no one is working together. We are busier than normal but should have the staff to get the work done. There are long-simmering interpersonal conflicts and we aren’t working together like we used to. I keep telling everyone to get over it and get the job done, but no one seems to be listening.” “It sounds like you need some help to get to the bottom of this problem,” says Sarah. “Let’s go see Jack in OD.” Ned and Sarah set up a meeting with Jack. Although he has heard about the conflicts in the department, during their first meeting, Jack asks a lot of questions until he has a good idea of what is going on. Jack asks Ned point-blank, “What are you doing or not doing that might be contributing to the problem?” All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 74 6/30/14 10:27 AM  Ned acknowledges, “I don’t have the patience or time for conflict and just want everyone to get along and do the work.” Jack then asks, “Are you willing to do the work to fix this, even if it means that you might have to change or be more hands-on with conflict resolution?” Ned replies, “I won’t like it, but we have to do something. I’m in.” Jack also asks Sarah if she will back Ned up on addressing this change. Once the two of them agree, Jack emphasizes, “I can work with you, providing we have an equal partnership. We all need to share the responsibility for diagnosing the problem and taking the necessary action to solve it.” The three agree to work together on finding a solution to the interpersonal conflicts and productivity issues in the shipping department. Before making an intervention, Jack wants to gather data, so he reviews the performance trends and customer complaints and interviews the members of the department individually. Once Jack has completed his data collection and analysis, he sets up another meeting with Ned and Sarah. “Ned and Sarah, you have a dysfunctional team on your hands,” Jack says. “They have no ground rules, collaboration, or means of handling conflict. Everyone needs to be more understanding and respectful toward each other. It would also be helpful to create some guidelines for how the team wants to operate and manage conflict. Ned, you also need to take a more active role in resolving issues.” Jack presents a few options to Ned and Sarah, and they settle on taking the group through a facilitated process to address communication and team effectiveness. They also agree that Ned could use some individualized executive coaching to help him learn behaviors that would be more productive for dealing with conflict. They set up a time to make the intervention. To prepare, they have all of the department members take a behavioral-styles inventory so the team has data on individual differences. They then schedule a meeting at which they will share the inventory results and their interpretation. As the meeting begins, everyone is tentative, their arms crossed. Ned kicks off the meeting by thanking everyone for their hard work and acknowledging that there are problems. He emphasizes that everyone has participated in creating the problems and that everyone must help solve them. He also admits his own role in the problems and reveals that he is working on improving his managerial skills to be more effective. Ned has everyone’s attention. Then Jack delves into presenting and interpreting the results of the inventory everyone has taken. The group becomes animated and even seems to enjoy sharing the differences among one another. The ice is broken, and people start to let their guards down a bit. The group takes a break, and next the agenda shifts to more serious issues. The group spends some time identifying strengths and weaknesses of the team and lists things that would make the team more effective. By the end of the session, the team has come up with a tangible plan about how to be more effective and what specific actions team members will take with each other. People are talking again and have agreed not to suffer in silence when they become upset. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 75 6/30/14 10:27 AM Defining Consultants and Clients Section 3.1 Everyone goes back to work and tries to apply the new standards for team interaction. Jack works with Ned to make sure the agreements from the meeting are upheld. Ned also continues to work with his coach to change his behavior, and becomes more proactive and sensitive to conflicts when they arise. Jack also keeps in touch with Sarah to make sure she is supporting Ned’s efforts and getting the results she needed for departmental improvement. The intervention has a dramatic effect: The percentage of orders shipped on time increases quickly, and customer complaints plummet. Why? Because all of the stakeholders were involved in a process that 1. 2. 3. 4. created mutual understanding and insight about member differences and similarities, jointly articulated the problems, collectively devised a plan for dealing with them, and was visibly supported by management. As discussed in Chapter 1, participative activities usually result in buy-in because people want a say in things that affect their work lives. Although there will still be challenges as the group relearns how to function together, Ned, Sarah, and Jack facilitated an OD intervention that was collaborative, data based, and problem focused. The ability of Ned and the shipping department employees to resolve future conflicts will be the true test of whether the intervention was successful and helped the department build new capacity for dealing with problems. The success realized by the QuickCo shipping department was due in part to the work of the OD consultant, Jack, who helped Ned and his team identify and address their problems in a way that was relevant, timely, and respectful. This chapter is about the OD consultant, the different types, roles, and styles of consultants, their competencies and skills, and the contracting process consultants engage in when working with clients. 3.1 Defining Consultants and Clients Chapters 1 and 2 introduced organization development and change. This chapter focuses on the people who practice OD, generally known as consultants. In Chapter 1 we defined an OD consultant as a person who practices OD. This person may be an internal employee or external to the organization. We defined 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 76 6/30/14 10:27 AM Defining Consultants and Clients Section 3.1 Who Invented That? Management Consulting Arthur D. Little created the first management consulting firm in 1886 at the same time management was also emerging as a field 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 scientific management, or Taylorism (a method of analyzing and synthesizing production work for efficiency). 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 firms in the 1980s and 1990s. You can learn more about these firms and their services at http://www.stormscape.com/inspiration /website-lists/consulting-firms, which lists the 50 major consulting firms and links to their websites. Forbes has also compiled a listing of the most prestigious consulting firms, available at http://www.forbes.com/sites/susanadams/2011/08/25/the-most -prestigious-consulting-firms. Consultants Are Helpers, Influencers, and Persuaders Consultants are often described as helpers (Lippitt & Lippitt, 1986; Schein, 2011). Schein (2011) comments: Helping is a basic relationship that moves things forward. We take helping so much for granted in our ordinary daily life that the word itself often comes up only when someone is said to have “not been helpful” in a situation where help was taken for granted. (p. ix) Think about people who have helped you. What about them made you seek or accept their help? They are likely people who made you feel that they understood you and you could trust them (Schein, 2011). Now think about people who are “unhelpful.” How are they different from helpers? Consulting is about helping—specifically about providing “helpful help,” rather than “unhelpful help” (Schein, 2011, p. 1). Simply, consultants specialize in creating understanding and trust with their clients via relationships. Tips and Wisdom Consultants generally do not have positional power within an organization, so if they are to influence thought and action, they need influence. Peter Block (2011), considered a master of OD consulting, explains: A consultant is a person in a position to have some influence over an individual, group, or organization but [who] has no direct power to make changes or implement programs. A manager is someone who has direct responsibility over the action. The moment you take direct responsibility, you are acting as a manager. (p. 2). (continued) All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 77 6/30/14 10:27 AM Defining Consultants and Clients Section 3.1 Tips and Wisdom (continued) 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 find themselves having to influence other people, or advise them about possible courses of action to improve the effectiveness of any aspect of their operations, without any formal authority over them or choosing not to use what authority they have. (p. 3) Consultants are also persuaders. Although they have little power to implement change, they compensate by developing persuasive skills to promote change with their clients. These skills include prevailing on a person or organization to adopt a course of action through advising, urging, or providing compelling evidence. One example of persuading the client might be using the organization’s own performance data to show information that would motivate change, such as retention statistics, quality performance, or product rankings. A consultant might also persuade a leader to examine and perhaps change leadership style using feedback from employees. “A consultant is one who provides help, counsel, advice, and support, which implies that such a person is wiser than most people” (Burke, 1992, p. 173). OD wisdom is developed through learning OD theory and process and having the ability to explain it to the client and persuade the organization to change its course. Consultants Work With Clients Consultants work for a person, team, or department, any of which can be a client. Block (2011) defined a client as anyone who 1. 2. 3. 4. 5. attends the initial OD planning meeting, sets objectives for the project, approves any actions to be taken, receives the report on the results of the consultant’s work, and is significantly 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 78 6/30/14 10:27 AM Defining Consultants and Clients Section 3.1 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. 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 mediaphotos/iStock/Thinkstock issue subject to OD consulting. A consultant works with clients to agree on paramThey are also usually the ones eters for the consulting agreement. 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 first 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 first 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 nonprofit organization she belongs to. The person making contact was the contact client because she requested services. The primary client in this case would be the top executive of the organization whose job is to set strategy. The primary client worked with you to plan a strategic planning process that was inclusive and involved a cross-section of representatives from the business who attended meetings and developed surveys to share with a randomized segment of the organization. These were intermediate clients, who participated in the process in some way. During the process, the employees who did not participate in any way and were not aware a strategic planning process was underway were the unwitting clients. The employees who were aware of the process but did not participate in any way were the indirect clients. Finally, the stakeholders of the organization—such as the community, other company divisions, and suppliers—were the ultimate clients because they were affected in some way by the strategies created. Burke (2011) defined 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 All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 79 6/30/14 10:28 AM Types, Roles, and Styles of OD Consultants Section 3.2 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 difficult for meaningful, impactful OD to occur. Think of someone you trust and note the reasons. Chances are you identified interpersonal attributes such as honesty, dependability, responsibility, respectfulness, and believability. You might have also listed competencies like expertise, experience, or being a recognized authority. These elements help build trust with the client. Take Away 3.1: Defining Consultants and Clients • • Consultants help, influence, 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. 3.2 Types, Roles, and Styles of OD Consultants Steele (1969) likened OD consultants to detectives, noting the following shared attributes of each: • • • • • • They have temporary involvement in a system. They focus on data gathering and problem solving. They offer the potential for “dramatics.” They are oriented toward action and excitement. They rely on experts. Their work involves juggling several stimulating cases simultaneously. Today, Steele’s comparison still rings true as we consider the challenging, exciting work of implementing planned change in organizations. This section begins by distinguishing the two types of consultants—internal and external—introduced in Chapter 1. It then identifies a variety of roles of consultants and explores various consultant styles. Internal and External Consulting OD consultants can be classified by type according to their relationship with the organization. People act as an internal consultant if they are a permanent member of the organization who facilitates OD, whether or not that is their sole or primary responsibility. For example, an All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 80 6/30/14 10:28 AM Section 3.2 Types, Roles, and Styles of OD Consultants 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. Goodshoot/Thinkstock Some companies choose to retain internal consultants, whereas others hire external consultants on an as-needed basis. If, in contrast, someone has a temporary relationship with the organization and is not an insider or permanent employee, he or she is an external consultant. A consultant may be self-employed or work for a consulting firm that provides services to a number of organizations and industries. Organizations usually contact external consultants when the needed consulting expertise is not available in-house. An example would be an organization that hires an external diversity expert to develop an inclusive recruitment and retention plan in the event that no one inside the organization has such expertise. Advantages of Internal and External Consulting Advantages for the internal consultant include possessing privileged historical and contextual organization knowledge that usually provides deep insight into its problems and challenges. Internal consultants typically have built long-standing, trusting relationships with other organization members. External consultants also have advantages. Their temporary status gives them more leeway to take risks than internal consultants, and they enjoy higher prestige and ready credibility due to their peripheral, novel status. Disadvantages of Internal and External Consulting Internal consultants may be more vulnerable to organization politics; for example, if they are working on an unpopular change initiative, there may be backlash or undermining of them and future projects. They could also be pressured to divulge confidential 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 81 6/30/14 10:28 AM Section 3.2 Types, Roles, and Styles of OD Consultants External consultants, on the other hand, have less insight into the organization and are rarely able to see the long-term impact of their efforts. Table 3.1 provides a more exhaustive list of the pros and cons of being internal and external consultants. There are more pros and cons associated with internal consultants. Table 3.1: Pros and cons of internal and external consulting Internal consultant pros Internal consultant cons • They have knowledge of the client and organizational problems. • They have insight into the organization’s history, politics, and culture. • They likely share similar values with the client. • They know where to find 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 confidential. • They might be challenged by confidentiality issues. • They might be part of the problem. • They might not be comfortable consulting outside their rank. • They might have to confront people with whom they work. • They might be discounted as a prophet in their own land. • They might fear that giving bad news could adversely affect their advancement prospects. External consultant pros • 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 difficult issues or people. External consultant cons • They do not receive ready trust. • They have limited knowledge of the client or organization history, culture, and politics. Block’s Consultant Roles Block (2011) identified three roles played by consultants. These are the expert, pair-of-hands, and collaborator roles. They apply whether the consultant is internal or external. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 82 6/30/14 10:28 AM Types, Roles, and Styles of OD Consultants Section 3.2 Expert Role When clients have a problem and lack the time and interest to deal with it, they often turn to a knowledgeable consultant who serves an expert role by telling them what to do. For example, if two employees are on the warpath with each other, the client might hire a consultant who has expertise in conflict 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 fix the issue. Pair-of-Hands Role When a client has a task that needs to be completed and wants someone else to do it, they are seeking a consultant to play the pair-of-hands role. Usually, clients seeking this type of consulting also take little time or interest in the problem at hand. Instead, they hire a consult and tell him or her what to do, such as facilitate a meeting or implement a process. Neither the expert nor the pair-of-hands role is ideal. A collaborative approach is generally preferred for its mutuality and effectiveness. Collaborator When the client and consultant mutually engage in and share responsibility for the OD effort, they are involved in collaborative consulting. The clear benefit 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. ©Zak Kendal/cultura/Corbis Collaborative consulting means that the client and consultant meet halfway and share responsibility equally for the OD process. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 83 6/30/14 10:28 AM Section 3.2 Types, Roles, and Styles of OD Consultants Table 3.2: Comparison of Block’s consulting roles Expert role Pair-of-hands role Collaborator role Manager plays inactive role. Consultant assumes passive role. Consultant and manager are interdependent. Consultant controls information and intervention. Manager selects procedures for data collection and analysis. Data collection and analysis are joint efforts. Collaboration is not really necessary. Collaboration is considered essential and permeates project. Consultant makes decisions about how to proceed. Technical control rests with the consultant. Collaboration is not required. Two-way communication is limited. Consultant plans and implements main events. Manager judges after the fact. Consultant’s goal is solving immediate problem. Source: Adapted from Block, 1999. Manager decides how to proceed and consultant follows manager’s direction. Control rests with the manager. Two-way communication is limited. Manager specifies change procedures for the consultant to implement. Manager evaluates results and judges from a distance. Consultant’s goal is to make the system more effective by the application of specialized knowledge. Decision making is bilateral. Control issues become matters for discussion and negotiation. Communication is two-way. Implementation responsibilities are determined by discussion and agreement. Manager participates in a joint evaluation with the consultant. Goal is long-term problem solving—ensuring problems stay solved. Lippitt and Lippitt’s Continuum of Consulting Roles In their 1986 book, The Consulting Process in Action, Lippitt and Lippitt observed that consultant behaviors could be characterized as occurring along a continuum from nondirective to directive. To illustrate these ideas, consider a consultant named Miranda. When Miranda sits back and observes the client grappling with and solving a problem without much help, she is being nondirective. Nondirective consulting promotes client buy-in because the client is involved in identifying a problem’s root cause and proposing a solution. The consultant’s nondirective behavior would be to ask the client questions that promote reflection 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 84 6/30/14 10:28 AM Section 3.2 Types, Roles, and Styles of OD Consultants Lippitt and Lippitt (1986) identified 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-fits-all role for OD consultants. The eight roles are described in the next sections, using the example of Miranda to illustrate their specific functions and approaches. Figure 3.1: Continuum of consulting roles The eight consulting roles identified by Lippitt and Lippitt are effective across a range of OD issues, but clients and consultants should determine the consultant’s role early in the process. Nondirective Consultant Directive Consultant Client More Engaged Client Less Engaged Objective Observer Process Counselor Raises questions for reflection Observes problemsolving process and raises issues mirroring feedback Fact Finder Gathers data and stimulates thinking interpretively Alternative Identifier Identifies alternatives and resources for client and helps assess consequences Trainer or Joint Educator Problem Solver Trains Offers client alternatives and participates in decisions Information Specialist Regards, links, and provides policy or practice decisions Advocate Proposes guidelines, persuades, or directs in the problemsolving Source: Adapted from Lippitt & Lippitt, 1986. Objective Observer When Miranda patiently waits for clients to discover the answer to their issue independently by creating the time, space, and right questions to bring it to the surface, she takes the role of an objective observer. This is the most nondirective, client-centered role she can take as a consultant. To assume this role, Miranda must be highly effective at asking questions that help the client reflect, 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 confidence, 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 reflect on the situation and All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 85 6/30/14 10:28 AM Section 3.2 Types, Roles, and Styles of OD Consultants identify possible actions to try in the future, such as, “How is it working for you?” “What is one thing you can do to be more participative next week?” Process Counselor Chaos/Digital Vision/Getty Images A nondirective consultant sits back and lets the client solve the problem. 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 problemsolving 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. Fact Finder Serving the client as a researcher who collects, analyzes, synthesizes, and interprets relevant information is a fact-finder role. Data collection typically occurs in one of five ways: (a) interviews, (b) questionnaires, (c) observations, (d) analysis of records and documents, and (e) tests or surveys. Through fact finding, 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 identified. Identifier of Alternatives and Linker to Resources When Miranda helps the client generate alternative solutions to a problem and establish criteria for evaluating the alternatives, her role is to identify alternatives and link to resources. She leaves the final decision about the course of action to the client. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 86 6/30/14 10:28 AM Types, Roles, and Styles of OD Consultants Section 3.2 Once the manager has data on his participative behavior (or lack thereof), Miranda would identify several resources for continued learning. These might include books, seminars, other individuals the manager might want to emulate or seek mentoring from, or executive coaching. The client then decides on what will work best for him. Joint Problem Solver When Miranda works in conjunction with the client to diagnose and solve the problem, taking a major role in defining 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 conflict 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 conflict 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 specifications, and budget. Her actions as a consultant might be to mediate conflict between warring members. She might also help them identify key problems in their process and possible ways to solve them. Trainer-Educator When Miranda organizes learning and development activities to address the client’s problem, she serves the trainer– educator role. Most OD consultants have formal training and experience in learning and development. A caution with this role is that training is often not the most effective intervention to prescribe. It can be costly and time-consuming, and when incorrectly prescribed, the organization’s problems will persist, and both organization morale and a consultant’s credibility will suffer. Jon Feingersh/Blend Images/Getty Images Directive consultants actively engage in the OD process, using a more hands-on, assertive approach. Continuing Miranda’s work with the production team, it becomes obvious that the team would benefit from more formalized learning around conflict management and project management. She organizes a daylong seminar to help the team learn about these issues. Information Specialist When Miranda provides expert knowledge, information, or answers to the client’s dilemmas, she is serving as an information specialist. Although there are times when a consultant’s expertise is needed, functioning primarily in this role can create client dependency and foster All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 87 6/30/14 10:28 AM Types, Roles, and Styles of OD Consultants Section 3.2 an inability to independently problem solve. Serving in this role also makes it more difficult 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 conflict 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 influence 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 specific procedures for facilitating the team’s meetings. Blake and Mouton’s Intervention Styles In addition to assuming different roles, consultants also embody different intervention styles when they deal with clients. So far this chapter has covered several roles consultants can play. They are all potentially useful, depending on the client and the situation. Most consultants develop a unique style that capitalizes on their skills, interests, and comfort. Blake and Mouton (1976; 1983) identified four roles that were later summarized by Cockman and colleagues (1996) in their book, Client-Centered Consulting. These are discussed in the following section using a hypothetical consultant named Benjamin. Assessment: Consultant Style Inventory Score Being a consultant is demanding and requires that a person works to serve the needs of individuals, groups, and the organization itself. Effective consulting requires being flexible 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. Click here to complete the inventory. Acceptant Style When Benjamin helps clients by listening with empathy and providing emotional support, he is employing an acceptant style. The acceptant style offers neutral, nonjudgmental support that helps clients relax their defenses, confront disabling emotional reactions, and solve problems independently. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 88 6/30/14 10:28 AM Types, Roles, and Styles of OD Consultants Section 3.2 For example, Benjamin might help a client distinguish an issue from a person. If the client is having an emotional reaction to a person that evokes anger, frustration, or confusion, the issue at hand may be clouded. Although the client may hate the CEO, that matter is separate from the need to implement the organization’s strategic plan created by the CEO. Helping the client see this distinction can be cathartic and get him or her focused on problem solving. By providing an atmosphere of acceptance in which a client feels accepted, safe, and not threatened, an acceptant style helps the client clear whatever is blocking him or her from dealing logically and rationally with the problem. Catalytic Style If Benjamin is skilled at helping clients gather data about the problem, analyze it, and decide its relative importance, he is using a catalytic style. Working from this style, Benjamin would help the client make an evidence-based diagnosis to identify intervention options and choose solutions. He would help the client focus on the who, what, why, when, where, and how related to the problem. In short, when Benjamin uses a catalytic style, he pushes the client to generate solutions based on the data. Results from an organization-wide attitude survey could provide impetus for management to make changes. Confrontational Style When Benjamin calls attention to discrepancies between the client’s professed values and how the client puts them into practice, he is using a confrontational style. You can probably think of examples when someone claims he or she values one thing, like being a good listener or seeking input in decision making, yet does the complete opposite when interacting with other people by interrupting or failing to get input. Consultants using a confrontational style point out these contradictions so clients can see the discrepancies and decide if they want to change. For example, Benjamin might say to a client, “You told me you were a good listener, yet you constantly interrupted and talked over people during the meeting. What’s up with that?” This particular style can be highly effective at targeting and changing dysfunctional behaviors of individuals and groups during the OD process. Prescriptive Style When Benjamin listens to the client’s problem, collects the data the client requires, makes sense of the data from his own experience, and presents the client with a solution or recommendation, he is using a prescriptive style. This style is commonly used in OD, although it is not the most effective, because it tends to cast the consultant in the expert or pair-of-hands role. Consultants working from this style may assume that clients lack the skill, knowledge, or objectivity to effectively diagnose and solve problems. In reality, this is rarely the case. Consultants can be “experts” without driving the process and knowing when expertise is needed. This style is similar to the information specialist and advocate roles specified by Lippitt and Lippitt (1986). All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 89 6/30/14 10:28 AM Competencies of OD Consultants Section 3.3 Take Away 3.2: Types, Roles, and Styles of OD Consultants • • • • Consultants can be internal to an organization (permanent, full-time employees) or external (temporary and working for multiple organizations). Consultants often play one of three roles, including the expert, pair of hands, or collaborator. Functioning in a collaborative mode is considered the most effective role because it creates mutuality and accountability with the client. Consulting roles can also be understood along a continuum of nondirective to directive. The closer the consultant gets to directive roles, the more she or he will be functioning as an expert. Consultants also have different ways of intervening that include acceptant, catalytic, and prescriptive styles. 3.3 Competencies of OD Consultants What does it take to do OD consulting well? In addition to following a change model (such as one introduced in Chapter 2) and an action research process (to be discussed in Chapter 4), a consultant must master certain competencies. This section profiles these competencies using the example of a hypothetical consultant named Bridget. Block’s Competencies Recall Peter Block, one of the most influential scholars of consulting. In his classic book, Flawless Consulting, first published in 1981, Block (2011) identified two competencies essential for consulting: being authentic and completing the business of each consulting phase. Being Authentic When Bridget frankly and respectfully communicates her experience with the client and leverages commitment through communication and trust, she is being authentic. Authenticity means Bridget addresses issues directly with the client. When the client is defensive or uncooperative, she confronts the behavior in a way that does not alienate the client. Being authentic requires Bridget to give honest feedback, help the client save face in difficult 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 confidentiality, addressing any doubts clients have about working with the consultant, and raising issues related to distrust when they arise. Without trust, it will be difficult to appear authentic. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 90 6/30/14 10:28 AM Competencies of OD Consultants Section 3.3 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 first, and then we talked about what changes he might make. The next speech he made was impeccable and reflected favorably on both him and our organization. Being direct and respectful of clients is almost always appreciated, because they want to be effective. It also builds trust. Completing the Business of Each Phase The other requirement for flawless consulting, completing the business of each phase, means a consultant follows the planned change process using the action research model. This model was briefly introduced in Chapter 1 and is the subject of Chapter 4. It means approaching the OD process by contracting with the client, collecting data on the problem, sharing feedback from the data analysis, identifying and implementing an appropriate intervention, and evaluating the results. Technical, Interpersonal, and Consulting Skills Being authentic and completing the business of each phase are important but are not enough to be an effective consultant. As Block (2011) observed, consultants also need technical, interpersonal, and consulting skills, each of which are discussed in the following section using a consultant named Miguel. Technical Skill The discipline-specific knowledge Miguel brings to the consulting relationship is known as technical skill. OD is a technical skill in itself, but each consultant has a unique blend of technical skills in other areas. Cummings and Worley (2009) suggest these include an understanding of organizational behavior, individual psychology, group dynamics, management and organization theory, research methods, comparative cultural perspectives, and functional knowledge of business. For example, Miguel might have expertise in banking and financial 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? All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 91 6/30/14 10:28 AM Section 3.3 Competencies of OD Consultants Interpersonal Skill Miguel’s ability to engage, communicate, and develop a mutual relationship with his client is known as interpersonal skill. Consultants form relationships with a variety of individuals and groups and need flexibility, 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. Sonja Pacho/Corbis Honing interpersonal skills involves finding ways to connect with the client and the client system. 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. Influencing the client. Consultant was defined in the beginning of this chapter as typically having influence without power, making it essential that consultants be effective persuaders and build trust with the client. Confronting difficult issues a client is reluctant to face. This competency is aligned with the importance of authenticity. Being direct and tackling difficult 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 conflict 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-confidence, interpersonal savvy, and a sense of mission. OD work is worthwhile and potentially helpful to others, and consultants must own that mission. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 92 6/30/14 10:28 AM Section 3.3 Competencies of OD Consultants How would you rate yourself according to Burke’s list? What are your top three strengths? What are your top three weaknesses? What would you add to the list? Consulting Skill OD practitioners take their clients through a multistep process—known as action research— that begins the moment they meet. Consulting skill requires mastering each step of the action research process. Developing consulting skill is a daunting goal, but this book is devoted to helping you achieve it. Maintaining that skill is a lifelong endeavor that requires ongoing learning and personal development. Freedman and Zackrison (2001) identify four areas of consulting skill: interpersonal, technical, consulting, and self-management. Table 3.3 offers brief descriptions of these competencies. Table 3.3: Consultant skills Interpersonal • • • • Confrontation Risk-taking ability Collaboration Conflict management • Relationship building Technical—business or function specific • • • • • • • • Engineering Project management Planning Marketing Manufacturing Personnel Finance System analysis Consulting Self-management • Analysis and diagnosis • Strategic and implementation planning • Change management • Evaluation • Core values articulated • Self-confidence • Self-awareness 1. Control and influence 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 specific organization level, and experience with similar organizations or industries. Potential clients may ask about any one of these areas when assessing a consultant’s skill and competence. Balancing Responsibility in the Consultant–Client Relationship Earlier, the collaborator role was identified 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 93 6/30/14 10:28 AM Section 3.3 Competencies of OD Consultants Tips and Wisdom “Let’s hire a consultant so we have someone to blame.” —David Bigelow, retired law enforcement officer who pursued art full time upon retiring in 2001. His paintings, drawings, and etchings have a whimsical quality that reveals life’s truths. This advice, although perhaps cynical, serves as a warning: Avoid clients who need a scapegoat or want to dump their problems in someone’s lap. OD consulting centers on building mutual, collaborative relationships with clients. It is most effective when the client owns the problem and shares responsibility for authorizing, implementing, and maintaining the planned change. Thus, its success hinges on effectively balancing a consultant’s responsibilities with those of the client. As discussed, effective OD consultants have strong interpersonal skills, with a heavy dose of emotional intelligence, patience, tact, and tenacity. Sometimes you have to trust your intuition about what your client is really committed to. Paying attention to your feelings—and those of your client—will yield valuable insights. How is the client working on the problem? Is there ownership? Accountability? Are there signs of resistance? Is the client getting appropriate support from upper management? If you sense that the client is reluctant to own the problem and share responsibility for the solutions, you need to directly and quickly identify and address the underlying issues. Holding a client equally responsible for the change helps ensure that your own needs are being met in the consulting relationship. Block (2011) noted that it is easy for consultants to fall into a “service mentality” (p. 16) at the expense of their own needs. It is fair for you to expect access to and support from the organization, as well as inclusion among the team and validation that your work is having an impact. Block (2011) recommends that you assess the balance of responsibility you and the client are taking in the OD engagement by completing the checklist in Table 3.4. If you discover that you are always required to take the lion’s share of responsibility or have very little responsibility, it is time for a frank conversation with the client and renegotiation of expectations. Table 3.4: Checklist to assess the balance of responsibility Client has major responsibility; consultant has little 50–50 shared responsibility Consultant has major responsibility; client has little Define the initial problem Decide whether to proceed with the project Select the dimensions to be studied (continued) All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 94 6/30/14 10:28 AM Section 3.4 Contracting Table 3.4: Checklist to assess the balance of responsibility (continued) Client has major responsibility; consultant has little 50–50 shared responsibility Consultant has major responsibility; client has little Decide who will be involved in the project Select the method Do discovery Funnel the data and make sense of it Provide the results Make recommendations Decide on actions Source: Adapted from Block, 2011, p. 36. Take Away 3.3: Competencies of OD Consultants • • • Consulting guru Peter Block held that being authentic and completing the business of each phase are key to effective consulting. Effective consulting competencies also include technical, interpersonal, and consulting skills. Balancing responsibility in the consultant–client relationship helps assure support and accountability in the OD process. 3.4 Contracting When our hypothetical consultant Miguel meets with the client to learn about the problem and define 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 first client meeting is an intervention (Schein, 1988b), meaning that Miguel’s presence alone influences 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 95 6/30/14 10:28 AM Section 3.4 Contracting Figure 3.2: Example of a consulting contract on leadership development for midlevel managers This sample contract between a client and consultant shows the level of detail required for each of the key elements of contracting. CONSULTING CONTRACT The Boundaries of Your Analysis This project will entail the implementation of a leadership development process for the organization’s top 20 high-potential leaders who are currently in midlevel positions. We will not focus on entry-level leadership development for this project Project Objectives 1. Begin developing a culture of leadership among midlevel managers. 2. Groom participants for the next level of leadership. 3. Strengthen managerial and leadership competencies of participants. Key Information • We plan to interview participants about their current leadership experience. • We plan to conduct 360-degree evaluations. • We plan to administer various leadership inventories to assess leadership behaviors and styles. • We plan to review performance appraisals and meet with participants’ direct supervisors. Consultant’s Role My key role will be to help you devise a comprehensive development program for emerging leaders. I have expertise in leadership development and adult learning and access to other individuals who can provide some of the programming for the session. I will help provide the initial start-up. You will identify internal people who can codevelop the program and will eventually take it over and run it in-house at the completion of the pilot year. Final Product The outcome of our work will be a 1-year leadership development program for your midlevel managers. This will include 10 retreats (approximately monthly except December and July). I will provide you with the content in the form of workshop materials for both participants and facilitators. We will evaluate the program on an ongoing basis, and I will summarize our evaluation with recommendations for future programs at the end of the project. Support and Involvement from the Client You have agreed to support this program, publicize it, and assist in the identification of the top 20 midlevel leaders. You will meet with me regularly to share in the development and oversight of this program. You have also agreed to allow me access to individuals who can provide input for both interviews and surveys. You will make one staff member available to plan and administer the retreats. You will handle all of the materials production for the workshops. You will identify an internal consultant to shadow the project and take over after the implementation year. Time Frame We will spend the rest of this year jointly planning the program. Our first planning meeting will be next week. We will initiate the program in January with a graduation the following November and then repeat the cycle. Major milestones will be each of the 10 workshop sessions, the midpoint, and the end. Confidentiality Evaluation data will be given to the person assigned to run the program after the initial start-up year. The 360-degree evaluation data will be shared with the participants, facilitators, and the person taking over for next year. Feedback Approximately 6 months after the first program has completed, I will follow up with you to learn the status of the 20 participants, plan for a sustained program, and other insights or benefits of the program. _____________________________________________________________________________________ Consultant Signature Date _____________________________________________________________________________________ Client Signature Date All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 96 6/30/14 10:28 AM Contracting Section 3.4 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. Additionally, Miguel must be authentic. If a consultant is dishonest, exaggerates his skills, or tries to manipulate clients, he can expect problems related to trust and satisfaction with his work. As discussed, each consultant develops a preferred style; it will be helpful to identify yours. Are you good at small talk? Can you identify something the client is interested in and talk about it? What can you ask about the business to show your concern and learn more about the organization? What can you share about your previous projects? Even though you may have a preferred style of consulting, you may have to adjust it to best accommodate the client or the situation. It is also a good idea for Miguel to make time for the client to ask him questions about his background, style, and other issues of import to the client when he initiates a consulting relationship. Often, consultants provide a written biography or description of services that can help the client understand what they offer. These considerations are important to keep in mind so they can put their client at ease. Once that is accomplished, a consultant can move to the next steps of contracting. Key Elements of Contracting When Miguel and his client have agreed to engage in a consulting relationship, it is a good idea to detail that agreement in writing in the form of a contract. Block (2011) identifies key elements of contracting that can serve as a guideline for writing up a formal contract of engagement. Each aspect will be considered and then an example shared. Boundaries of Analysis Fuse/Thinkstock During the initial entry or shortly Negotiating a written contract for OD consulting thereafter, Miguel should clarify the protects both the client and consultant and keeps problem or issue to be addressed by the process on track. creating a simple problem statement that des­cribes what he intends to do. In effect, this creates boundaries of analysis. For example, he might wind up with a simple statement such as: All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 97 6/30/14 10:28 AM Section 3.4 Contracting The purpose of this OD engagement is to address retention problems of diverse employees at entry- and mid-level management. The statement may also include information on what will not be addressed. For example: This project will not address nonmanagerial positions. Tips and Wisdom Establishing boundaries of analysis requires correctly identifying the primary client (and it may not be the person who initiated the consulting relationship). Here are some tips to help ensure you have established clear boundaries: • • • • • Make sure you can identify the primary client. Ask questions until you are certain. Understand who serves to benefit from the consulting: management, employees, customers? Establish clear expectations. Take time to discuss what you need and expect as a consultant and give the client a chance to do the same. Know when to walk away from a project. Projects that hold little interest and do not fall within your expertise are compromised from the start. Projects that have wavering support and resources are also risky. Set an expectation for ongoing feedback to ensure the consulting stays on track and meets expectations. Project Objectives Once the boundaries of analysis are clear, Miguel is ready to generate project objectives. These might include solving technical or business problems (business objectives); creating new opportunities for the organization (business objectives); teaching clients how to solve a problem for themselves the next time it arises (learning objectives); improving how the organization manages itself (business or learning objectives); changing the culture (business or learning objectives); or other issues relevant to the client (Block 2011). Useful Information to Seek Once the boundaries of analysis and pro-ject objectives are determined, Miguel should seek out data relevant to solving the issue. Information sources will be fully discussed in Chapter 4, but generally there are at least three types of information that will be particularly useful to consultants. These include technical data, people’s attitudes, and roles and responsibilities (Block, 2011). During contracting, Miguel should identify the information he needs and how he intends to retrieve it (e.g., surveys, interviews, and so forth). All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 98 6/30/14 10:28 AM Contracting Section 3.4 The Consultant’s Role Earlier in this chapter we discussed the different types and roles of consultants. Usually, a consultant’s role is negotiated during the contracting process. In addition to determining if Miguel will serve in an expert, pair-of-hands, or collaborative role, he and the client also need to agree on a mutual partnership in which the client is accountable for the process and outcomes. As the consultant, Miguel is responsible for creating a process that allows the client to address problems. The client is accountable for providing the resources, support, and incentives for the change. If the client does not want to assume responsibility for the process, Miguel will want to carefully consider whether he should continue the project. This is also a good time to explain that he may play different roles that range from nondirective to directive. The Product to Be Delivered Next, Miguel should specify the product or service the client can expect him to provide; for example, a report, conflict mediation, or coaching. He should work to be very specific about the deliverables to avoid problems later. Here is an example of specifics 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 specific date. The Support and Involvement a Consultant Needs From the Client Block (2011) calls support and involvement from the client “the heart of the contract for the consultant” (p. 63). With this in mind, Miguel should describe in detail what he needs from the client for the project to succeed. Examples might include one-on-one meetings with certain employees, access to organization records, clerical services, or managerial support. A budget for the project should also be developed at this stage. In addition, Miguel and the client should agree on a process for requesting approval for additional funds if necessary. The Time Frame Next Miguel should specify the time line of the project, including its start date, major milestones, and end date. It can be useful to establish a Gantt chart (Figure 3.3), particularly for long, complicated projects. Similar to the budget, the time line should be reviewed regularly to make sure the project is on track. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 99 6/30/14 10:28 AM Section 3.4 Contracting Figure 3.3: Example of a Gantt chart Below is an example of a simple Gantt chart over a 7-month period detailing typical stakeholders and activities of an OD intervention. A consultant could take each intervention and make a much more specific chart by week and activity. Function Dec Action research team Consultant Jan Feb Phase 1: data collection Phase 2: data analysis and feedback Primary client Pre-phase: build awareness and support for OD effort Managers Pre-phase: build awareness and support for OD effort CEO Pre-phase: build awareness and support for OD effort Mar Apr May Phase 3: planning Phase 4: implementation Phase 5: evaluation Recognize and celebrate success Phase 3: planning Phase 4: implementation Phase 5: evaluation Follow up Phase 3: planning Jun Recognize and celebrate success Phase 4: implementation Recognize and celebrate success Recognize and celebrate success The Confidentiality Expectations Maintaining confidentiality and integrity promotes a strong collaborative relationship. External consultants may have more flexibility with confidentiality 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 confidentiality has been breached. Writing confidentiality expectations into the contract will help avoid misunderstandings and problems later. The Agreement for the Client to Provide Postintervention Feedback Asking the client to provide feedback on the project after the consultant leaves or once the project is finished 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 100 6/30/14 10:28 AM Section 3.4 Contracting Contracting Ethics Ethics guide one’s activities as a consultant, including at the contract stage. Chapter 1 introduced OD’s code of ethics as put forth by the International Society for Organization Development and Change. The code emphasizes quality of life, health, justice, dignity, win–win outcomes, holistic perspectives, and participative decision making. Gellerman, Frankel, and Landenson (1990) recommend the following values to guide OD practice: • • • • • • • • • Promote quality of life. Enhance health, human potential, empowerment, growth, and excellence. Provide freedom and responsibility and give people choice in the process. Advocate justice. Pursue dignity, integrity, worth, and fundamental rights of all stakeholders. Seek all-win outcomes. Conjure authenticity and openness in relationships. Adopt a holistic, systemic perspective, mindful of all stakeholders. Invite wide participation in the process. Freedman and Zackrison (2001) distinguished between OD consultants and what they termed “techspert consultants” (p. 179) who function in the expert role. These functions are contrasted in Table 3.5. Table 3.5: OD consultants versus techspert consultants OD consultants Techspert consultants • Participative • Exploratory and experimental • Empower leaders and organization members • Work in isolation • Definitive, confident, 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 confidentiality 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. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 101 6/30/14 10:28 AM Section 3.4 Contracting Case Study: Ethical Scenarios for the OD Consultant Evaluate the following scenarios based on the ethics information presented in this chapter. Scenario 1: You are contacted by a company that needs some help with implementing a process you have little familiarity with. Although you could probably learn it, you would not be up to speed within their time frame. Still, you could really use the extra income right now. What are the implications for deciding not to do it? What are the implications for deciding to do it? Scenario 2: Another consultant contacts you and offers you a chance to take a consulting job that she could not take because she is booked during the time the client needs a leadership development program. You are very skilled at this type of consulting and have not worked for this company before. At the close of your discussion, the consultant who has offered you the gig asks for 10% of your fee for the consulting since she referred you. What is your next step? Scenario 3: You are working with a chemical company to reorganize its production process, which currently releases significant 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 officials and community advocates. What competing interests and values might you expect to encounter from this diverse stakeholder group? Scenario 4: You have completed a consulting engagement with a company that conducted survey research and prioritized key actions needed to change the culture. Over the past year, the company has worked to address its top four priorities from the survey research. You are now at a point that organization members can continue the work without your regular involvement, and you are negotiating to maintain your consulting services only intermittently. You were really impressed with one of the members of the action research team. He approaches you after a meeting on-site and tells you how much he enjoyed working with you and learning from you. He asks if you have any positions open in your consulting firm. Is it ethical for you to consider hiring this person? Why or why not? If you were to proceed, what is your responsibility to the client organization? Take Away 3.4: Contracting • Key elements of contracting include determining the boundaries of analysis, identifying project objectives, deciding on the kind of information you are seeking, articulating your role as a consultant, specifying the product you will deliver to the client, identifying the support and involvement needed by the client, noting the time frame, discussing confidentiality, and planning for postintervention feedback. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 102 6/30/14 10:28 AM Summary and Resources Summary and Resources Chapter Highlights • • • • • • • • • • Consultants help, influence, 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 confidentiality, and planning for postintervention feedback. Think About It! Reflective Exercises to Enhance Your Learning 1. The chapter began with a vignette about problems in the shipping department of QuickCo. See if you can recall a situation from your experience that would have benefited 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 profiled 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? All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 103 6/30/14 10:28 AM Summary and Resources Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Look up some job descriptions of consultants and identify the themes, salaries, and competencies required. 2. Develop a biography and description of your technical, interpersonal, and consulting competencies (current or desired). Be sure to include a paragraph explaining the role and style you use for consulting. 3. Prioritize the technical, interpersonal, and consulting competencies you need to learn. 4. Review the results of your consultant style inventory score. What insights did you gain from this assessment? 5. Develop a consulting contract. Additional Resources Media What Should Consultants Do? http://www.youtube.com/watch?v=vv3p6lMdC7c Web Links International Council of Management Consulting Institutes, an international membership organization and a network of the management advisory and consultancy associations and institutes worldwide. http://www.icmci.org/ Institute of Management Consultants USA, the certifying body and professional association for management consultants and firms in the United States. http://www.imcusa.org Association of Management Consulting Firms, founded in 1929 as AMCE, the Association of Management Consulting Engineers. http://www.amcf.org Consulting and Business Associations, an online consulting resource. http://www.consulting-business.com/consulting-business-associations.html Key Terms acceptant style A consulting style characterized by neutral, nonjudgmental support of clients that helps them relax and let down their defenses so problems can be solved more easily. authentic When you directly, frankly, and respectfully communicate your experience with the client and leverage commitment through communication and trust, you are being authentic. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 104 6/30/14 10:28 AM Summary and Resources catalytic style A consulting style that uses data and evidence to help clients diagnose and solve problems. The data usually provide impetus for action or change. collaborative consulting The role a consultant assumes when the client wants a mutual partnership in solving problems and is willing to share responsibility from the beginning to the end of the project. confrontational style A consulting style that challenges inconsistencies between what a client professes to value and what he or she actually does in practice. consultants People who practice OD (or another technical skill) and combine it with technical, interpersonal, and consulting skills to help clients resolve issues and problems. consulting skill The skill a consultant develops that requires mastering each step of the action research process. contracting The process of determining the parameters of a working relationship with a client. This is best put in writing according to the guidelines offered in this chapter. directive A hands-on style of consulting in which the consultant is assertive about telling the client what to do or readily gives the answer. expert role The role a consultant plays when a client wants someone with expertise who will tell them what to do. The client has a low level of involvement in the OD consulting in these situations. external consultant Consultants who have a temporary relationship with the client or organization and are outsiders. internal consultant Consultants who are employed by the client organization. They are insiders with a permanent relationship with the organization. interpersonal skill A consulting competency to engage, communicate, and develop a mutual relationship with clients. nondirective A hands-off style in consulting that involves patience, observation, and asking questions to subtly guide clients to find a solution on their own. pair-of-hands role The role a consultant plays when the client wants a task completed and seeks someone else to do it. The client generally takes little interest in the problem or the process and simply wants the issue resolved. prescriptive style A consulting style that involves listening to the client’s problem, collecting the data the client requires, making sense of the data from the consultant’s own experience, and presenting the client with a solution or recommendation. technical skill Discipline-specific knowledge that consultants bring to the consultancy. OD is one of these types of skills. Consultants are found in every field, from medicine to technology to agriculture. All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 105 6/30/14 10:28 AM All Rights Reserved. Not for resale. Use of this e-book is subject to the Terms of Service available at https://www.thuze.com/terms_and_conditions.php bie81554_03_c03_073-106.indd 106 6/30/14 10:28 AM
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