Change Assessment: Referencing this week’s lecture, assess the changes you have made in your personal or professional life 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? 4 Action Research: The Planning Phase Monty Rakusen/Corbis Learning Objectives After reading this chapter, you should be able to: • Describe action research and compare Lewin’s model to those of at least two other OD theorists. • State the importance of a consideration of levels of analysis in the planning phase. • Identify the steps of the planning phase. • Describe different types of research and research methodologies. • Discuss five 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 confidentiality concerns and manage defensiveness and resistance. 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_04_c04_107-144.indd 107 6/30/14 10:32 AM  In Chapter 3, the QuickCo vignette provided one example of how OD consultants work. Jack, the internal OD consultant at QuickCo, led his clients, Ned (the shipping supervisor) and Sarah (the manufacturing manager), through an action research process to solve communication and teamwork problems in the shipping department. Action research, the process OD consultants follow to plan and implement change, follows three general phases: 1. Planning. Data are collected, analyzed, and shared with the client to determine corrective action. 2. Doing. Action is taken to correct the problem. 3. Checking. The effectiveness of the intervention is evaluated, and the cycle is repeated as needed. Let us return to the QuickCo vignette and examine the action research steps taken. Ned and Sarah met with Jack to outline how employees were at each other’s throats, letting conflicts fester, and failing to work well together. Their first meeting incorporated their planning phase. As explained in Chapter 3, this initial meeting is known as contracting. During the meeting, Jack asked questions to begin identifying the root cause of the conflicted department. The three struck a collaborative agreement and worked to devise a plan for resolving the issues. The first action they took was to collect data. Jack reviewed the performance trends and customer complaints from the shipping department and interviewed the employees individually about their views on the problems. The planning also involved analyzing the data Jack collected to arrive at a diagnosis. When he met with Ned and Sarah to share feedback from the data collection, Jack presented his analysis, noting: “Ned and Sarah, you have a dysfunctional team on your hands. They have no ground rules, collaboration, or means of handling 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 laid the problems out in a matter-of-fact, nonjudgmental way. Once all the analyzed data were presented, the three worked jointly to plan an intervention to address the problems. They agreed to take the group through a facilitated process to address communication and team effectiveness. They also agreed that Ned would benefit from individualized executive coaching to help him learn behaviors that would be more productive for dealing with conflict. The second phase of action research, doing, occurred when Jack, Ned, and Sarah scheduled the intervention with the shipping department and implemented it. The outcome of the inter-vention was a tangible plan for the department for how to be more effective, including specific actions they would take to address conflict. The final phase, checking, involved Ned, Sarah, and Jack continuing to monitor the shipping department after the intervention. Ned helped the department uphold its new ground rules on a daily basis and coached employees to help them stick to the plan. He also asked for regular feedback on his own management skills as part of his ongoing coaching. Ned, Sarah, and Jack reviewed departmental data on productivity and customer complaints and learned that the timeliness and 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_04_c04_107-144.indd 108 6/30/14 10:32 AM Section 4.1 A Review of Action Research accuracy of shipped orders had significantly improved. Jack followed up a few months later by conducting individual interviews with shipping department members. He discovered that the solutions had been maintained. If and when new conflicts arise or new members join the team, it may be time to start the action research process over again to address new issues. Catherine Yeulet/iStock/Thinkstock Following the action research process helped the QuickCo shipping department resolve employees’ interpersonal conflicts. The QuickCo vignette demonstrates all three phases of the action research process. This chapter focuses on the first phase, planning. Chapters 5 and 6 provide a similarly detailed look at the second and final phases, doing and checking, respectively. But before turning to the planning phase, let us review action research. 4.1 A Review of Action Research Chapter 1 defined OD as a process of planned change that is grounded in a humanistic, democratic ethic. This specific process of planned change is known as action research. Defining Action Research Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. As such, it involves data collection, analysis, intervention, and evaluation. Essentially, it is a repeating cycle of action and research, action and research. However, the words action research reverse the actual sequence (Brown, 1972), in that “research is conducted first 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) 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_04_c04_107-144.indd 109 6/30/14 10:32 AM A Review of Action Research Section 4.1 Action Research Is a Democratic Approach to Problem Solving Many theorists have characterized action research as democratic and collaborative: • • • “Action research is a participatory, democratic process concerned with developing practical knowing in the pursuit of worthwhile human purposes, grounded in a participatory worldview” (Reason & Bradbury, 2008, p. 1). “Action research is the application of the scientific method of fact-finding 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) identified broad characteristics of action research to include: • • • • Research in action, rather than research about action A collaborative, democratic partnership Research concurrent with action A sequence of events and an approach to problem solving. (p. 4) These definitions 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 problemsolving 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 nonprofit organization that surveys donors or beneficiaries before engaging in strategic planning; a government department that conducts a needs analysis prior to a training program; or a corporation that conducts exit interviews before initiating recruitment for positions. What other examples can you think of? Action Research Helps Clients Build Capacity for Future Problem Solving Although typically guided by a consultant, action research engages key stakeholders in the process. Indeed, its effectiveness depends on the active engagement and accountability of the stakeholders. As discussed in Chapter 3, OD consultants are responsible for influencing 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 modified (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 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_04_c04_107-144.indd 110 6/30/14 10:32 AM Section 4.1 A Review of Action Research proficient at the action research process is the outcome of effective consulting, since the best consultants work themselves out of a job. Who Invented That? Plan, Do, Check Cycle Although often attributed to quality guru W. Edwards Deming, the plan, do, check cycle was created by Walter A. Shewhart of Bell Labs. Shewhart was an American physicist, engineer, and statistician who was one of the originators of statistical quality control that preceded the total quality movement. Although this plan, do, check model seems to suggest that planning change is a neat, orderly, and rational process, in reality it can be chaotic, shifting continually in response to unexpected developments and outcomes. Nevertheless, learning the action research process equips consultants with a proven method for navigating such shifts as they work with clients on organization challenges. Models of Action Research Recall from Chapter 1 that action research originated with the work of Kurt Lewin, the father of OD. Lewin’s model (1946/1997) includes a prestep (in which the context and purpose of the OD effort are identified), followed by planning, action, and fact finding (evaluation). Several models of action research generally follow Lewin’s, although the number and names of steps may vary. See Table 4.1 for a comparison. Table 4.1: Comparison of action research models to Lewin’s original model Lewin’s (1946/1997) original action research steps Cummings & Worley (2009) Coghlan & Brannick (2010) 1. Prestep to determine context and purpose 1. Entering and contracting 1. Prestep 2. Planning 2. Diagnosing 2. Planning action 3. Action 3. Planning and implementing change 3. Taking action 4. Fact finding (evaluation) 4. Evaluating and institutionalizing change 4. Evaluating action Stringer (2013) 1. Look a. Gather relevant information b. Build a picture; describe the situation 2. Think a. Explore and analyze b. Interpret and explain 3. Act a. Plan b. Implement c. Evaluate 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_04_c04_107-144.indd 111 6/30/14 10:32 AM Section 4.1 A Review of Action Research 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 Figure 4.1: Plan, do, check action research cycle The plan, do, check model of action research was popularized by the total quality movement. The contemporary research cycle has more steps, although essentially accomplishes the same steps of diagnosing and designing (plan), implementing (do), and evaluating (check). Plan 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 ACTION RESEARCH CYCLE Check Do The action research steps may look simple, and it may appear that planning change is a neat, orderly, and rational process. In reality, though, it can be chaotic, political, and shifting, with unexpected developments and outcomes. Take Away 4.1: A Review of Action Research • • • Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. The three phases of action research are planning, doing, and checking. A variety of OD theorists follow Lewin’s model, although the number and names of steps may vary. 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_04_c04_107-144.indd 112 6/30/14 10:32 AM Section 4.2 Planning: The Discovery Phase 4.2 Planning: The Discovery Phase When beginning an OD intervention, the initial steps taken to identify the problem and gather data about it are known as planning. The planning phase is a diagnostic one. The client and consultant work with other organization stakeholders to study the problem and determine the difference between desired outcomes and actual outcomes. The discrepancy between what is and what should be is known as a performance gap. For example, if an organization aspires to be first in quality in the industry but lags behind in second or third place, that would be the performance gap between being first versus second or third. Organizations perform gap analysis to assess reasons for a gap between reality and the desired outcome. The performance gap idea can also be applied to yourself. Let us say you aspire to a managerial position but have not achieved it. Upon analyzing the gap, you realize you lack the training and experience to attain the position. If you decide to eliminate the gap, you might enroll in a graduate program, attain a leadership certificate, or find a mentor to help you attain your goal. Consider a performance gap you have experienced and complete the chart in Figure 4.2. What other performance gaps have you experienced? Figure 4.2: Performance gap analysis Use this chart to assess your own performance gap. Identify a desired reality—perhaps running a 5K. Next, honestly note your current reality: Can you run around the block? Run or walk for a mile? Once you determine the gap, fill out the middle column with specific action steps to move closer to your goal—how will you close the gap? Current Reality Steps to Close the Gap Desired Reality 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_04_c04_107-144.indd 113 6/30/14 10:32 AM Planning: The Discovery Phase Section 4.2 Benefits of the Planning Phase Planning is a critical phase of OD, because poor plans will result in poor outcomes such as fixing the wrong problem, wasting time and resources, and frustrating organization members. The benefits 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 prioritiz-ing issues. Tips and Wisdom Time management guru Alan Lakein is credited with coining the phrase “Failing to plan is planning to fail” (as cited in Delaney, 2011). This advice is to be heeded in OD. Planning is key to effective interventions. How does Lakein’s quote apply to your experience? Levels of Analysis Before we delve into the steps of the planning phase, we should understand the location of the OD effort; that is, the level at which the action research might occur. This is known as the level of analysis. The OD effort might focus on the individual, group, organization, or system. Each level comes with its own issues, needs, and appropriate interventions. These levels, along with appropriate interventions, were discussed in Chapter 2. All levels of analysis, from the individual to the system, face similar issues. Cockman, Evans, and Reynolds (1996) categorize organization issues according to purpose and task, structure, people, rewards, procedures, or technology: • • • • • • Purpose and task refers to identifying the reason the organization exists and how its members advance its mission. Structure pertains to reporting relationships and how formal and informal power relations affect the organization. People issues relate to relationships, leadership, training, communication, emotions, motivation and morale, and organization culture. Rewards systems include financial and nonfinancial 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 identifies questions to ask about each area of Cockman, Evans, and Reynolds’s levels of analysis. 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_04_c04_107-144.indd 114 6/30/14 10:32 AM Section 4.2 Planning: The Discovery Phase Table 4.2: Cockman, Evans, and Reynolds’s organizational issues and diagnostic questions Organizational issues Diagnostic questions • Purpose and tasks • What business are we in? • What do people do? • People • • • • • • • Structure • Rewards • Procedures • Technology Source: Cockman, Evans, & Reynolds, 1996. • Who reports to whom? • Where is the power? 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? • What are the incentives to perform well? • What are the decision-making procedures? • What are the channels of communication? • What are the control systems? • Does the organization have the necessary equipment, machinery, information technology, transport, and information? Identify a performance gap you are aware of personally or professionally and see if you can answer Cockman, Evans, and Reynolds’s questions. Steps in the Planning Phase The steps in the planning phase include identifying the problem area, gathering data, analyzing the data, sharing feedback, and planning action. These steps illuminate the core problem and identify key information for making an intervention. Step 1: Preliminary Diagnosis of the Issue When an OD process is initiated, it is imperative that the problem be correctly defined. 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 fix the department’s interpersonal conflicts, poor communication, and ineffective conflict 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 defining 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: 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_04_c04_107-144.indd 115 6/30/14 10:32 AM Section 4.2 Planning: The Discovery Phase • • • • “What do you think is causing the problem?” “What have you tried to fix it?” “How has this attempt to fix 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. Good questioning enhances one’s authenticity as a consultant. How have you diagnosed problems in your organization? Have you ever misdiagnosed an issue? What were the consequences? Step 2: Gathering Data on the Issue Once QuickCo diagnosed the team’s lack of communication and interpersonal effectiveness as the source of the problem, it was ready to collect information to inform next steps. This is known as data gathering. Data can be gathered in many ways. The most common data collection methods in action research include interviews, questionnaires, focus groups, direct observation, and document analysis. filo/iStock Vectors/Getty Images Collecting data ensures the OD process is evidence based. Jack, the internal QuickCo consultant, took several steps to better understand the problem. He reviewed performance trends and customer complaints, interviewed department members, and relied on his own working knowledge and observations of the department to formulate a solid understanding of the issues. What types of data have you gathered to better understand organization issues? Methods of data gathering are explored in detail in the next section of this chapter. Step 3: Analyzing the Data Once data has been collected, it must be turned into something meaningful and useful for the client. Data collected to provide information about a problem is not useful until it is interpreted in ways that inform the issue and provide clues to possible interventions. For example, a survey is not helpful unless it is examined within the organization’s context. Data analysis will be more fully defined in the data analysis methods section later in this chapter. 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_04_c04_107-144.indd 116 6/30/14 10:32 AM Planning: The Discovery Phase Section 4.2 Step 4: Sharing Feedback with the Client Once data has been collected and analyzed, a feedback meeting is scheduled in which results are presented to the client. In the QuickCo example, Jack met with Ned and Sarah to share his analysis. Feedback meetings require careful planning to keep the consultancy on track. Consultants should decide on the key purpose and desired outcomes for the meeting. For example, do they want the client to better understand the problem? Agree on a course of action? Confront some issues affecting the problem? Sharing feedback with the client involves determining the focus of the feedback meeting, developing the agenda for feedback, recognizing different types of feedback, presenting feedback effectively, managing the consulting presence during the meeting, addressing confidentiality concerns, and anticipating defensiveness and resistance. Step 5: Planning Action to Address the Issue The last step of the planning or discovery phase is to plan the action that will be taken. This planning might occur during the feedback meeting, or you might schedule a time at a later date to give the client an opportunity to digest the data analysis and feedback. The outcome of the planning is to design the activity, action, or event that will be the organization’s response to the issue. This is known as an intervention. The type of intervention selected depends on the organization’s readiness and capability to change, the cultural context, and the capabilities of the OD consultant and internal change agent (Cummings & Worley, 2009). The intervention will also target strategy, technology and structure, and human resource or human process issues. The consultant and the client will collaboratively plan the appropriate intervention(s) to address the issue. Chapter 5 will address interventions in detail. Take Away 4.2: Planning: The Discovery Phase • • • • Planning is an opportunity to conduct a performance gap analysis to examine the difference between what is and what should be. Benefits 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 first phase of action research and consists of five steps: identifying the issue, gathering data on the issue, analyzing the data, sharing feedback with the client, and planning action to address the issue. 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_04_c04_107-144.indd 117 6/30/14 10:32 AM Types of Research Section 4.3 4.3 Types of Research OD is a joint endeavor between the client and consultant that includes data gathering and analysis. Involving clients in the data collection process reinforces their commitment to the OD process. The consultant’s role in this process is to help the client focus on the root cause of the problem and to organize the data collection and interpretation. A consultant’s objectivity can be very helpful to clients, enhancing their understanding of how they might be contributing to the problem or how the issue plays out within the broader organization context. Einstein is credited with saying, “If we knew what it was we were doing, it would not be called research, would it?” (as cited in Albert Einstein Site, 2012). People conduct research when they have questions that do not have obvious answers. Depending on the question they wish to answer, there are differing types of research. Basic Research The word research might evoke images of people working in labs, examining petri dish cultures, and making new discoveries. This type of research is known as basic research, and it generally creates or extends the knowledge base of a discipline such as medicine, physics, or chemistry through experiments that allow researchers to test hypotheses and examine perplexing questions. Basic research results in new discoveries and theories and includes innovations like testing cures for cancer, establishing scientific laws such as gravity, or refuting previously held beliefs such as the world being flat. There are other types of research beyond basic, and they vary based on the type of question being asked. Applied Research When people seek to answer questions such as “What is the best way to facilitate learning during change?” or “How do we motivate employees to embrace new technology?” they are usually seeking to improve practice within a certain field. This is known as applied research because its results are germane to problems and issues within a particular setting such as business. This type of research is practical and helps people solve problems, but unlike basic research, it does not necessarily yield new knowledge. OD is applied research because it asks questions about challenges that are unique to the individual organizational context in which they are located. Action Research Action research explores specific 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 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_04_c04_107-144.indd 118 6/30/14 10:32 AM Section 4.3 Types of Research research involves recurring cycles of study and action on a problem within a specific 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 specific context (action). When you engage in action research, you are conducting a systematic inquiry on a particular organization problem by methodically collecting and analyzing data to provide evidence on which to base your intervention. When people do research in organizations, they are seeking not so much to generate new knowledge (or cure diseases) as to improve the quality of organization life. Action research is therefore a form of applied research because it seeks to directly address organization problems and respond to opportunities in ways that improve the organization for all its stakeholders. Evaluation Research People may also want to judge the quality of something like an educational program, conference, or OD intervention. Here they might ask, “How was the learned information applied?” or “What was the most effective mode of delivery of instruction?” or “What are people doing differently as a result of the intervention?” This type of research is known as evaluation research. Evaluation seeks to establish the value of programs or interventions and judge their usefulness. Evaluation can occur during the OD process, especially when the process is being evaluated before, during, or after the intervention. We will learn more about evaluation research in OD in Chapter 6. Refer to Table 4.3 for further description of the different types of research. Table 4.3: Different types of research Basic Applied Action Evaluation • Contributes to knowledge base in field (basic, pure) • Experimental • Tests hypotheses • Seeks to answer perplexing problems • Improves practice in discipline (applied) • Seeks to describe, interpret, or understand problems within specific settings • Will not necessarily create new knowledge • Addresses particular, local problem (action research) • Systematic inquiry • Addresses specific problem within specific 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 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_04_c04_107-144.indd 119 6/30/14 10:32 AM Research Methodology Section 4.4 Take Away 4.3: Types of Research • • • • • Different types of research answer different types of questions. These types of research include basic, applied, action, and evaluation. Basic research seeks to make new discoveries, test hypotheses, and create new knowledge. Applied research explores practical questions and seeks to improve practice. It may not necessarily create new knowledge. Action research addresses particular problems within specific contexts, such as an organization. It is also applied research because of its practical nature. Evaluation research assesses the value of programs, processes, or techniques and judges their effectiveness. 4.4 Research Methodology In addition to the four types of research based on the types of questions asked, research can also be classified according to the type of methodology that is used to collect data. Methodology represents the overarching philosophy and approach to collecting data. Qualitative Research Methodology When seeking to understand “how” a phenomenon occurs or unfolds (“How do leaders best develop?”) or inquire into the nature or meaning of something (“How does participation on a high-performing team affect individual identity and performance?”), a qualitative methodology is appropriate. Qualitative methodology is described as being “centered on understanding the meaning people have constructed” (Merriam, 2009, p. 13) and as “an umbrella term covering an array of interpretive techniques which seek to describe, decode, translate, and otherwise come to terms with the meaning, not the frequency, of certain more-or-less naturally occurring phenomena in the social world” (Van Maanen, 1979, p. 520). Qualitative inquiry is not generally quantifiable but rather provides convincing evidence. Qualitative data are generated from methods such as interviews, focus groups, or observations that are commonly conducted as part of the discovery phase of action research. Qualitative methods are rooted in constructivist philosophy—the idea that people build meaning from experience and interpret their meanings in different ways. For example, two people would likely define the meaning of life differently. 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_04_c04_107-144.indd 120 6/30/14 10:32 AM Research Methodology Section 4.4 Qualitative research occurs within the social setting or field of practice, and data collection is often referred to as “fieldwork” or being in the “field.” 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 dissatisfied with Organization Y?” and “What specific concerns do employees have about anticipated changes in the organization?” Qualitative methodology uses techniques that allow deep exploration of social phenomena through interviews, observations, focus groups, or analysis of documents. Qualitative Research Characteristics Qualitative research focuses on building meaning and understanding about social phenomena. The researcher (generally the consultant in OD) is the primary instrument for data collection and analysis. This means that it is the consultant who conducts interviews, focus groups, or observations and then interprets or analyzes their meaning. Interpretation is considered an inductive process—that is, meaning is inferred from the data through a process of comparison, reflection, and theme building. Unlike quantitative methodology, where study participants are often collected at random, qualitative participants are selected purposefully and are individuals who can provide informed accounts of the topic under study. For example, if a consultant wants to know about the experiences of new employees, he or she obviously needs to ask new employees. Qualitative Analysis and Results Qualitative analysis provides a detailed account of the phenomenon. Direct quotations from participants and a full depiction of the setting, issue, or individuals under study is known as rich description. The design of a qualitative study is emergent and flexible, meaning that the questions may change as new insights are gained. For example, if Sarah is conducting focus groups on issues faced by new employees, a topic may arise that she wants to query future groups about as she collects data. Quantitative Research Methodology When people want to know “how much” or “how many” of something, they generally seek a quantitative methodology. For example, a researcher might want to know: “What are the percentage breakdowns of employee satisfaction in Organization Y, from very dissatisfied to very satisfied?” 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 quantifiable 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. 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_04_c04_107-144.indd 121 6/30/14 10:32 AM Section 4.4 Research Methodology Quantitative Research Characteristics Quantitative techniques include surveys, questionnaires, and experiments that may involve testing with control groups. For example, Team A might be trained on effective team dynamics and facilitation procedures. Its productivity and performance might then be measured against Team B, which received no prior training. Quantitative studies are carefully designed, and once data collection begins, they are not changed. For example, if Jonas was administering a survey to a population, he would not change the questions halfway through data collection. Samples in a quantitative study are random and large. A corporation of 40,000 employees being surveyed on their opinions about health benefits would target a smaller number of randomly selected workers to provide a representation of what the majority of workers would likely prefer. Quantitative Analysis and Results Quantitative data are analyzed using a deductive process in which the numbers or statistics will be used to determine an understanding of what is being studied. Assuming a benefits 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 benefits packages. Table 4.4 compares and contrasts qualitative and quantitative methods. Table 4.4: Comparison of qualitative and quantitative research methods Comparison Qualitative Quantitative Research focus Quality (nature, essence) Quantity (how much, how many) Associated phrases Fieldwork, ethnographic, naturalistic, grounded, constructivist Experimental, empirical, statistical Philosophical roots Goal of investigation Design Sample Data collection Analysis Findings Phenomenology, symbolic interactionism, constructivism Understanding, description, discovery, meaning, hypothesis generating Flexible, evolving, emergent Small, nonrandom, purposeful, theoretical Researcher as primary instrument, interviews, observation, documents Inductive, constant comparative method Comprehensive, holistic, richly descriptive Positivism, logical empiricism, realism Prediction, control, description, confirmation, hypothesis testing Predetermined, structured Large, random, representative Inanimate instruments (scales, tests, surveys, questionnaires, computers) Deductive, statistical Precise, numerical 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_04_c04_107-144.indd 122 6/30/14 10:32 AM Research Methods Section 4.5 Take Away 4.4: Research Methodology • • Qualitative research methodology is used to understand how a phenomenon unfolds or occurs. This approach usually investigates how things occur and seeks to create meaning and understanding about the topic under study. Quantitative research methodology is focused on measuring how much or how many of something. Its goal is to interpret statistics so they are meaningful within the context they are derived from, such as an organization. 4.5 Research Methods Research methods are procedures used to collect data. They are based on the type of research methodology used. Methods typically used in OD are profiled 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 specific 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. 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_04_c04_107-144.indd 123 6/30/14 10:32 AM Research Methods Section 4.5 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 confidentiality 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 specific topic, such as employee satisfaction. It is a quantitative method. Questionnaires are also known as surveys, and one of OD’s first interventions was survey research, as was discussed in Chapter 1. Questionnaires measure attitudes and other content from research participants. The results can be quantified, often to show statistical significance 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 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 benefits. 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 generally trusted for confidentiality and anonymity. Questionnaires are reliable and valid when well-constructed and permit open-ended data to be collected, as well as exact responses to direct questions. Jakub Jirsák/iStock/Thinkstock Surveys and questionnaires are common data collection methods used 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_04_c04_107-144.indd 124 6/30/14 10:32 AM Research Methods Section 4.5 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 confidentiality, or may feel that the survey is tedious; thus, the response rate may be low. Finally, data analysis can be time-consuming for open-ended items. Focus Groups A group of approximately eight to twelve participants assembled to answer questions about a certain topic is known as a focus group. Focus groups are similar to interviews, but they are conducted collectively and facilitated by a moderator. Developing targeted questions is important, as is inviting the right people who possess insight and experience relevant to the problem. Focus group sessions should be recorded and transcribed verbatim, with participants’ permission. Focus groups are beneficial 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 fixes. 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 efficient 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 difficult. Participants may be suspect of the process and have confidentiality 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 findings 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. 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_04_c04_107-144.indd 125 6/30/14 10:32 AM Research Methods Section 4.5 Direct Observation Suppose Nina watches people, meetings, events, work processes, or day-to-day activity in the organization setting and records what she sees. Nina is undertaking direct observation. This data collection method involves recording observations in the form of field notes. Stringer (2013) lists typical observations made in action research: • • • • • • • • • Places: the contexts where people work, live and socialize, including the physical layout 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 benefits. It allows direct insight into what people are doing, avoiding the need to rely on what they say they do. Observation offers firsthand experience, especially if the observer participates in activities they observe. This is known as participant observation, and is just as useful for observing what happens as for what does not (for example, a manager may tell you she involves employees in decision making, but you may observe her doing the opposite). An observation might yield valuable details that offer insight into the organization’s context and politics that organization members may miss. Observational data may also provide a springboard from which to raise issues that people would otherwise be unwilling to talk about. Direct observation also poses challenges. It may be impossible to determine a rationale for observed behavior. If people know they are being observed, they may alter their behavior. Observations may be clouded by personal bias and selective perception. One must avoid overidentifying 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. 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_04_c04_107-144.indd 126 6/30/14 10:32 AM Section 4.5 Research Methods Document Analysis Document analysis involves reviewing relevant records, texts, brochures, or websites to gain insight into organization functioning, problem solving, politics, culture, or other issues. Documents might include memoranda, meeting minutes, records, reports, policies, procedures, bylaws, plans, evaluation reports, press accounts, public relations materials, vision statements, newsletters, websites, and so forth. Most organizations have a prolific 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 significantly inform the OD initiative. ©Dave & Les Jacobs/Spaces Images/Corbis Records, texts, brochures, or websites offer unobtrusive access to an organization’s information and history. 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. Confidential documents may sometimes be difficult to access. Additional Data Sources Although interviews, questionnaires, focus groups, direct observation, and document analysis are the most commonly used OD data sources, other sources of information include the following: • Tests and simulations: structured situations to assess an individual’s knowledge or proficiency 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, conflict resolution, and other 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_04_c04_107-144.indd 127 6/30/14 10:33 AM Research Methods • • • • • Section 4.5 Product reviews: reviews of products or services from internal or external sources. These can be useful for addressing quality or market issues. Performance reviews: formal records of employee performance. These can be particularly useful for individual interventions that are developmental or for succession planning on an organization level. Competitor information and benchmarking: comparative analyses of what competitors are doing regarding the issue under exploration. Examples might include salary, market, or product comparisons. Environmental scanning: analysis of political, economic, social, and technological events and trends that influence the organization now or in the future. Critical incidents: interviews that ask participants to identify a specific task or experience and pinpoint when it went well, when it did not go well, and what they learned. Critical incidents were first used in military pilot training to identify and eliminate mistakes. Take Away 4.5: Research Methods • • • • • • An interview is a qualitative data collection method that solicits opinions, observations, and beliefs about a particular social phenomenon by asking the interviewee to reflect 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 find the methods that will yield the most useful data. 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_04_c04_107-144.indd 128 6/30/14 10:33 AM Methods of Analyzing the Data Section 4.6 4.6 Methods of Analyzing the Data The most common types of research in OD are survey research using quantitative methods, and qualitative inquiry that could employ interviews, focus groups, observation, document analysis, or a combination thereof. As you recall, quantitative methods are used to determine “how much,” while qualitative methods are used to determine “how.” We have already identified 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 Matelly/cultura/Corbis story or provide deeper understand- A consultant’s role is not just to collect data but to anaing of a phenomenon. For instance, lyze its significance and present findings to the client. 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 satisfied and are clustered within a certain division or job classification, 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 finding 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. 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_04_c04_107-144.indd 129 6/30/14 10:33 AM Section 4.6 Methods of Analyzing the Data Case Study: Data Collection and Analysis at Jolt Transformers Jo Lee of Design Solutions Consulting receives a phone call from Rex James of Jolt Transformers. “Rex, what can I do for you?” asks Jo, who had done work for Jolt in the past. “Jo, we’ve got a problem with our technicians,” Rex replies. “We can’t keep them. We hire them, train them, and then they go work for the competition for more money. Then the cycle repeats and it seems we wind up hiring folks back again until they can jump ship for more cash. Our management team thinks they need more training.” “What makes you think that, Rex?” Jo is skeptical that training is the solution in this case. She listens a bit longer and sets up a time to meet with Rex and his division CEO. During the meeting Jo asks several questions about the extent of the problem and what steps have been taken to address it. The three agree that the first 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 dissatisfied with their careers at Jolt and 62% are planning on applying elsewhere in the next year. Jo and Rex also develop interview questions for the executives and a format and questions for the technician focus groups. During the interviews, it becomes clear to Jo that the executives believe the problem is that the company lacks a training institute for technicians. A couple of executives want her to design a curriculum to train the technicians more effectively. Jo is highly skeptical of this assumption, however, because it runs counter to what she is learning from the technicians. Other executives express concern that the company is not investing appropriately in the development and retention of its workforce. Jo thinks they might be on to something. During the focus groups with technicians, Jo hears comments such as: “There is no clear career path at Jolt. The only way to progress is to go elsewhere.” “The company doesn’t seem interested in us at all. They just want us to produce—the faster, the better.” “The competing companies provide a much better orientation program and connect you with a mentor to help you develop your skills.” “It’s a mystery what you have to do to get promoted around here. Instead of moving up, you might as well just plan to move out.” During the weeks that Jo collects and analyzes data, she undertakes several measures to promote a thorough, effective analysis. Each are discussed as tenets of effective analysis and related to the case. (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_04_c04_107-144.indd 130 6/30/14 10:33 AM Methods of Analyzing the Data Section 4.6 Case Study: Data Collection and Analysis at Jolt Transformers (continued) Design a systematic approach; keep a data log. Jo works with a team from Jolt to design a process for collecting quantitative and qualitative data. As the data collection process unfolds, Jo keeps a detailed log of the steps taken, especially for the interviews and focus groups. These notes allow her to tweak the interview and focus group questions based on what she learns. When you use data logs, you can keep them in the form of a journal or official memoranda that highlight key steps, decisions, and emerging themes. These logs might include visual images of what you are learning, such as models, system diagrams, or pictures. Write notes to yourself as you analyze. Thoroughly documenting your procedures is good practice and should allow another person to step in and repeat your data collection and analysis procedures. Allow data to influence what is learned. Jo listens and watches carefully as she collects data. Her attention to detail offers her new insights into prevailing assumptions at play in the organization. She is able to add questions to the interviews and focus groups that push participants to think more broadly about the problem. For example, she pushes executives to provide evidence that a training institute would result in better retention of employees. When the executives find they cannot provide clear answers, they reflect more deeply on the problem. Jo is also able to probe more around the lack of development and retention activities going on in the organization. Constantly compare qualitative data. Constant comparison earned its name because it involves a repetitive process of comparing themes that appear in the data until the researcher arrives at a cogent list that satisfactorily explains the phenomenon. This involves careful study, note making, and looking for patterns in the data. Having more than one set of eyes coding the data and generating themes helps verify the analysis. In the case of Jolt, two themes were found from the data analysis: 1. 2. Technicians were dissatisfied with: a. lack of a career path and b. level of support for advancement and growth. 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 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 fit the emerging themes. Sometimes the outliers can provide unique insight that proves to be helpful in addressing the issue. (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_04_c04_107-144.indd 131 6/30/14 10:33 AM Methods of Analyzing the Data Section 4.6 Case Study: Data Collection and Analysis at Jolt Transformers (continued) Code data. Qualitative data are coded, and the codes will eventually be grouped into themes. This involves reading passages of the transcript and giving them codes. For instance, Jo might have coded Jolt’s transcripts with the following categories: • • • • • • • job dissatisfaction leadership mentoring recruitment socialization learning and development issues career progression Once a series of themes has been established, it is best to narrow these down to a more manageable three to five 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 find the initial analysis digestible and in accessible language. You may share additional analysis as it becomes relevant to client needs. Document findings in an accessible way for the client. Jo had dozens of pages of data, including survey results and interview and focus group transcripts. She distilled this information into specific key findings and recommendations that were not overwhelming to the client. Find ways to disseminate findings with other practitioners and researchers. The best research happens in organizations, yet it rarely gets shared further once the problem is solved. It is helpful to attend professional meetings and conferences and to write up your findings for other practitioners to review. This advances the OD knowledge base, promotes discussion, and elicits new questions. Take Away 4.6: Methods of Analyzing the Data • • The approach to data analysis will depend on the methods used to collect data. The case study above offered a realistic account of how to analyze data and modeled the following tips: be systematic, keep a data log, let the data influence how you learn and think about the problem, constantly compare data, code the data, document the findings so the client can understand them, and disseminate what has been learned. 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_04_c04_107-144.indd 132 6/30/14 10:33 AM Methods of Sharing Feedback (Data Analysis) With the Client Section 4.7 4.7 Methods of Sharing Feedback (Data Analysis) With the Client Like the action research process itself, feedback meetings require careful planning to keep the consultancy on track. As the consultant, you are responsible for identifying a meeting’s key purpose and desired outcomes. For example, do you want the client to better understand the problem? Agree on a course of action? Confront some issues affecting the problem? Sharing feedback with the client involves determining the feedback meeting’s focus, developing the meeting’s agenda, addressing confidentiality concerns, recognizing different types of feedback, presenting feedback effectively, managing your consulting presence during the meeting, and anticipating defensiveness and resistance. Each of these will be discussed in this section. Determining the Focus of the Feedback Meeting Several issues should be considered when planning a feedback meeting. What outcomes do you seek? Do you want to enhance understanding of the problem? Obtain agreement on a course of action? Study the issue further? No matter the meeting’s focus, there are at least two issues that must be incorporated into the feedback meeting design: 1. data analysis presentation, and 2. discussion about the analysis and recommendations for future action. Keep your goals in mind as you plan the meeting. Structure it to help the client move to the next phase. Allow time to preset results, and engage the client in a conversation about the data. In the spirit of authenticity, plan ways to solicit feedback on your consultation during the meeting, perhaps by asking, “Are you getting what you need from me?” “Is this what you expected?” “What don’t you understand?” and so forth. Developing the Meeting Agenda As you create the agenda, you will want to split the meeting into two parts: (a) data analysis presentation, and (b) dialogue about the analysis and next steps. Block’s (1999) meeting agenda format for a feedback session has been adapted below: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Restate the original contract (described in Chapter 3). State the purpose, outcomes, and process for the meeting. Present the analysis and recommendations. Present recommendations. Ask for client reactions. For example, “Are you surprised by anything I’ve said?” or “Is this meeting your expectations?” Be authentic. Ask the client during the meeting, “Are you getting what you want?” Make a decision on actions or next steps and assign tasks and dates. Address concerns and assess commitment. Reflect on whether or not your goals were met—conduct a meeting evaluation and ask for feedback on your consulting. Close with support and a focus on the next steps. 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_04_c04_107-144.indd 133 6/30/14 10:33 AM Methods of Sharing Feedback (Data Analysis) With the Client Section 4.7 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 benefits. Once the feedback meeting is completed, it is a good idea to conduct a meeting postmortem. This involves evaluating the meeting, reflecting on what happened, soliciting input from stakeholders, and seeking feedback on your consulting. Addressing Confidentiality Concerns The agenda should be structured in a way that respects confidentiality 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 confidentiality of the people who provided it. Consultants should verify data usage and confidentiality 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 confidentiality and anonymity of participants. A consultant’s credibility can be compromised if he or she lapses in the area of data confidentiality. It is especially it is important to protect confidential 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 confidentiality will enhance your integrity and authenticity. You can protect confidentiality by keeping your promise not to share raw data, protecting your data sources (e.g., completed surveys) by keeping them in a secure location, and limiting access to the data only to individuals whom you trust and who need to work with it. Recognizing Different Types of Feedback Consultants recognize two broad types of feedback. Positive feedback involves sharing what the client is doing well or what is working in the organization; negative feedback involves sharing what the client is doing badly or what is not working. It is important that the client hear the good things before the consultant delves too deeply into the opportunities to improve. However, not all positive feedback is helpful. Positive feedback that undermines problem solving progress is known as destructive positive feedback. Examples include offering unwarranted praise or saying what the client wants to hear instead of what the client needs to hear. Destructive positive feedback is counterproductive to helping clients solve problems because it convinces them they are doing well enough and do not need to change. In contrast, positive feedback that helps the client is constructive positive feedback. Examples include describing what the client does well, what others appreciate, 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_04_c04_107-144.indd 134 6/30/14 10:33 AM Section 4.7 Methods of Sharing Feedback (Data Analysis) With the Client successes, and behaviors that are helpful to others. What types of destructive or constructive positive feedback have you received? Feedback that hurts the client is known as destructive negative feedback. Examples include put-downs, insults, or nonspecific criticism. This type of feedback is not helpful and may even erode progress on the problem. Negative feedback that helps the client is known as constructive negative feedback. Examples include outlining what the client does badly, failures, behavior that hinders others, behavior that is uncomfortable for others, and specific criticism. You can probably recall receiving both forms of feedback and how they made you feel. Presenting Feedback Effectively During the Meeting It is a big job to analyze data and decide what to share at the feedback meeting. It is likely that you will not present all of the data collected. Cummings and Worley (2009) suggest that feedback is most useful when it is relevant to the client and presented in an understandable and descriptive way. Clients also want information that is verifiable, significant, timely, and not overwhelming ©Monty Rakusen/Corbis to digest. You will want to ensure that It is important that consultants communicate data data are balanced; include the success and analysis effectively to their clients. How might communication methods change from client to client? data in addition to the failure data. It is also helpful to provide comparative data when available, such as crossdepartment 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, specific, brief, and simple. Avoid language that is judgmental, global, stereotyped, lengthy, or complicated. Managing Your Consulting Presence During the Meeting This book has discussed the need for consultants to be authentic and to complete each phase of action research. How consultants give feedback is critical because it impacts how well the client will hear and accept the message. Striking an effective stance during feedback involves being respectful, providing direct and constructive description, and anticipating resistance. It is 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_04_c04_107-144.indd 135 6/30/14 10:33 AM Methods of Sharing Feedback (Data Analysis) With the Client Section 4.7 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 beneficial to include data the client will view as important that calls attention to problems where there is a commitment to change. For instance, if the organization has an ongoing initiative, such as work teams, showing evidence of their activities and results can validate the data and reinforce the value of the action research process in implementing change. It is also advantageous to anticipate aspects of the feedback that are likely to cause client defensiveness and to come prepared to defuse them. Do not allow the client to project frustration about the data onto you—you are just the messenger. You should also identify stakeholders who will be absent from the meeting and plan to follow up with them about the meeting’s content and outcomes. Be prepared to deal with resistance as directly and constructively as you presented the data, and invite the client’s assessment of the problems and courses of action. Anticipating what might come up during the meeting helps a consultant effectively prepare for the unexpected. Managing Defensiveness and Resistance During the Meeting Clients often become defensive about feedback, particularly if it is negative or will require significant changes. For instance, suppose Janessa was assessing an organization’s retention issues and had 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, maledominated 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 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_04_c04_107-144.indd 136 6/30/14 10:33 AM Methods of Sharing Feedback (Data Analysis) With the Client Section 4.7 of authority and the vision for the organization.” The second statement is nonjudgmental and provides more detail than the first. 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 TommL/E+/Getty Images the feedback concern you?” or “Are Resistance is to be expected during feedback. Conthere points you disagree with?” These sultants must move clients beyond resistance and questions will spark dialogue on what get them to collaborate on the solution. aspects of the feedback are troubling to the group. When a consultant detects defensiveness and resistance, he or she should address it swiftly and tactfully, because doing so enhances the consultant’s authenticity and credibility. Smoothly managing the feedback process is a key competency of an OD consultant. The Tips and Wisdom box below offers some tips to help you develop this skill. Tips and Wisdom • • • • • • • • • • • • • • The client has a right to all the information collected (use of data should be established in the contracting process, including confidentiality). 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 confidentiality 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. 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_04_c04_107-144.indd 137 6/30/14 10:33 AM Methods of Sharing Feedback (Data Analysis) With the Client Section 4.7 Assessment: Develop a Force Field Analysis Instructions: Develop a force field analysis to anticipate different types of support and resistance a consultant might encounter during a feedback meeting. List the topic of feedback: Driving forces of support for the analysis: Resisting forces of support for the analysis: Take Away 4.7: Methods of Sharing Feedback (Data Analysis) With the Client • • • • • • • When planning to give feedback to the client, a consultant must decide the focus of the feedback meeting based on the outcomes the client needs, such as better understanding of the problem, agreeing on a course of action, or deciding to study the issue further. Take time to develop a detailed meeting agenda that includes the data analysis and presentation and a conversation about the analysis and next steps. Take efforts at every step of the research process to protect confidentiality 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, verifiable, timely, and not overwhelming. Consultants should strike a composed, confident, 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. 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_04_c04_107-144.indd 138 6/30/14 10:33 AM Summary and Resources Summary and Resources Chapter Highlights • • • • • • • • • • • • • • • • • • Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. The three phases of action research are planning, doing, and checking. A variety of OD theorists follow Lewin’s model, although the number and names of steps may vary. Planning is an opportunity to conduct a performance gap analysis to examine the difference between what is and what should be. Benefits 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 first phase of action research and consists of five 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 specific 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 reflect 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 reflect 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. 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_04_c04_107-144.indd 139 6/30/14 10:33 AM Summary and Resources • • • • • • • • • • • 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 find 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 influence how you learn and think about the problem, constantly compare data, code the data, document the findings 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 confidentiality 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, verifiable, timely, and not overwhelming. Consultants should strike a composed, confident, respectful, and competent stance during meetings. These are imperative in helping the client view the consultant as an authoritative partner. Plan to defuse resistance and defensiveness during the meeting. Think About It! Reflective Exercises to Enhance Your Learning 1. Recount a time you participated in a data collection in your organization. What was the method (interviews, questionnaire, etc.)? How was the data used? How well did the consultant do, based on the principles presented in this chapter? 2. Reflect 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: 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_04_c04_107-144.indd 140 6/30/14 10:33 AM Summary and Resources Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Identify a challenge in your organization and use the questions in Table 4.2 to identify key variables. 2. Identify a problem in your organization and plan a data collection process to examine the issue. Will you take a qualitative or quantitative approach? Why? 3. Observation is an important skill to hone in OD. During the next week, play the role of observer in the organization of your choice. You may want to keep notes following the chart of observations provided in this chapter. See what you can learn, particularly the contradictions between what people say and what they do. What questions might you ask if you were an OD consultant? Additional Resources Media Quantitative Data Analysis https://www.youtube.com/watch?v=4gIzG-tB22o Qualitative Data Analysis https://www.youtube.com/watch?v=DRL4PF2u9XA Web Links Basics of Conducting Focus Groups (Free Management Library), useful for planning, developing, conducting, and immediately after the focus group session. http://managementhelp.org/businessresearch/focus-groups.htm 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 Further Reading Creswell, J. W. (2013). Research design: Qualitative, quantitative, and mixed methods approaches. Thousand Oaks, CA: Sage. Maxwell, J. A. (2005). Qualitative research design: An interactive approach (6th ed.). Thousand Oaks, CA: Sage. Neuman, W. L. (2011). Basics of social research (3rd ed.). Upper Saddle River, NJ: Pearson Education. Roulston, K. (2010). Reflective interviewing: A guide to theory and practice. London: Sage. Wolcott, H. (2008). Writing up qualitative research (3rd ed.). Thousand Oaks, CA: Sage. 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_04_c04_107-144.indd 141 6/30/14 10:33 AM Summary and Resources Key Terms applied research Research that is germane to problems and issues within a particular setting, like an organization; it explores practical questions and seeks to improve practice but may not necessarily create new knowledge. basic research Research that seeks to make new discoveries, test hypotheses, and create new knowledge. code data Qualitative data are coded, and the codes will eventually be grouped into themes. This involves reading passages of the transcript and giving them codes. constant comparison The process of comparing data codes until clear themes emerge when conducting data analysis. constructive negative feedback Helpful feedback about what the client or organization is doing poorly, such as failures or destructive behaviors, or specific criticism that is shared with respect. constructive positive feedback Helpful feedback about what the client or organization is doing effectively. constructivist philosophy The idea that people build meaning from experience and interpret their meanings in different ways. data gathering The process of collecting information related to the client’s problem or issue that informs the decisions and actions taken in the OD initiative. deductive A quantitative data analysis process in which numbers or statistics are used to determine an understanding of what is being studied. destructive negative feedback Hurtful feedback about what the client or organization is doing poorly, such as put-downs, insults, or nonspecific criticism. destructive positive feedback Positive feedback that undermines progress toward solving the problem, such as saying what the client wants to hear or offering undeserved praise. diagnosis The determination of the root cause of a problem; based on a process of data collection, analysis, and collaboration with the client. direct observation The process of watching people, meetings, events, work processes, or day-to-day activities related to the OD issue or problem in the organization setting. document analysis The review of relevant records, texts, brochures, websites, or other documentation to gain insight into the way the organization runs, solves problems, manages politics, develops culture, and makes decisions. evaluation research Research that assesses the value of programs, processes, or techniques and judges their effectiveness. feedback meeting A meeting where the results of data analysis related to the issue the client is experiencing are shared, along with an assessment of the positive and negative aspects of the organization. focus group A group of approximately 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. gap analysis The process of assessing reasons for a gap between desired performance or outcomes and reality. inductive process Inferring meaning from data through a process of comparison, reflection, and theme building. 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_04_c04_107-144.indd 142 6/30/14 10:33 AM Summary and Resources interview A qualitative data collection method that solicits opinions, observations, and beliefs about a particular social phenomenon by asking the interviewee to reflect on questions. level of analysis The location of the OD effort at the individual, group or team, organization, or system level, or a combination of levels. Each level has unique needs, issues, and appr...
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