Week3-ImpasseinPersonalOrganizationalLearningHaldeman.docx

In a few sentences summarize the key takeaway from chapter 3, 4 & 5 then continue to answer the following: 
1. What is our personal abyss, and according to Haldeman, what are we afraid of?
2. How have recent events placed your organization at an impasse?  Could you or your organizations have been more prepared for the impasse?  In what sense?  Which people and organizations are most likely to be unprepared and have the hardest time?
3. Think of and ask a discussion question back to your cohort group.  
Please see Chapters Below

CHAPTER THREE
Change Process and Models
William J. Rothwell, Roland L. Sullivan, Taesung Kim, Jong Gyu Park, and Wesley E. Donahue
A model for change is a simplified representation of the general steps in initiating and carrying out a change process. It is rooted in solid research and theory. Managers and consultants, when demonstrating the competencies of an OD practitioner, are well-advised to rely on a model for change as a compass to show them the direction in which to lead the change effort and change process. In this chapter, we review numerous models to guide the change process.
AN OVERVIEW OF KEY MODELS FOR ORGANIZATIONAL CHANGE The change models we share rely primarily on a normative, reeducative, and innovative approach to behavioral change. They are (1) the traditional action research model, (2) Appreciative Inquiry, and (3) an evolving view of the action research model. The Traditional Action Research Model Action research has long been the foundation for many change efforts. It is properly regarded as a philosophy, a model, and a process. Like any change model, action research is a simplified representation of the complex activities that 42
CHANGE PROCESS AND MODELS 43 should occur in a change effort if it is to be participative, engaging, and empowering for those affected by it. The model serves as a compass to consultants facilitating change. While it does not tell consultants, managers, or workers exactly what to do in a paint-by-the-numbers fashion, it provides a process whereby the consultant and client can jointly inquire and decide what change is required. It helps consultants track where they are and where they are going. While the action research model has been depicted in different ways, the depictions of it share common characteristics. Figure 3.1 illustrates a general model of action research. Action research may also be understood as a process of continuing events and actions. In a classic description, French and Bell (1990) defined this interpretation of action research as “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 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” (99). One way to think about the traditional action research model is to depict it as a necessary step in any change effort (see Figure 3.1). This traditional depiction is based on the steps originally presented in Burke (1982) and in “Essential Competencies of Internal and External OD Consultants” (McLean and Sullivan 1989). Entry j Start-Up~ I Assessment and FeedbackAdoption i Action Planning SepMotinn ~Evaluation Intervention Figure 3.1. The Traditional Action Research Model
44 PRACTICING ORGANIZATION DEVELOPMENT Although the length and depth of each step may vary across change efforts, the steps are usually present in one form or another. In long-term change efforts-as many are-each step in the model may actually turn into the whole model in miniature. For example, when it is time for action planning, the consultant may use all or some of the generic action research model phases. In other words, that step alone may call for a start-up phase, followed by assessment, action planning, and an evaluation component once or several times during the action planning process. The steps will be discussed in Part Tw’o of the book. Appreciative Inquiry (AI) Appreciative Inquiry (AI) is the most exciting development in thinking about change in recent years. In one of the last conversations with the authors, Dick Beckhard, the person who coined the phrase “managing change” in the 1950s, told the authors of this chapter that he believed AI held within it the most promising future for OD. Like the action research model, AI is a way of being, a model, conceptual framework, and a process to guide change. Originally conceptualized by Case Western Reserve professor David Cooperrider (see Cooperrider and Srivastva 1987), it has captured much attention in recent years (see, for instance, Cooperrider 1990; Cooperrider 1995; Cooperrider, Whitney, and Stavros 2008; Watkins and Mohr 2001; Watkins, Mohr, and Kelly 2011). If the action research model can be comparable to the chip inside the OD computer that drives change efforts, then the Appreciative Inquiry model can be a different-but complementary-chip. Appreciative Inquiry (AI) is an OD approach and process to change management that grows out of social constructionist thought. AI is the “cooperative co-evolutionary search for the best in people, their organizations, and the world around them” (Cooperrider et al. 2008, 3). Instead of starting out to solve problems-a typical focus of traditionally trained managers, steeped in a philosophy of Management by Exception (MBE)-AI focuses on what is going right, what is motivating, what is energizing, and what are the key strengths of a setting. Instead of asking the question, “What is going wrong and how do we solve that problem?” AI begins by asking, “What is going right and how do we leverage that strength to achieve quantum leaps in productivity improvement?” Applying AI thus requires a paradigm shift from focusing on what is going wrong to what is going right and then trying to leverage what is going right into new, higher-level visions of a positive future. AI is both a philosophy and an approach to change, often represented as a 4-D method for application: Discovery, Dream, Design, and Destiny. See the AI 4-D model in Figure 3.2. The addition of Define, the initial “contracting” phase, to the 4-D model results in the AI 5-D model (Watkins et al. 2011).
CHANGE PROCESS AND MODELS 45 Discovery “What gives life?” (the best of what is) Appreciating Destiny Dream “What will be?” “What might be?” Affirmative (how to empower, learn, (imagine what the world isTopic Choice and adjust/improvise) calling for) Sustaining Envisioning Design “How can it be?” (determining the ideal) Co-constructing Figure 3.2. AI 4-D Model THE EVOLVING VIEW OF THE ACTION RESEARCH MODEL Burke (2002, 2014) reviewed the change process. In doing so, he posited what might be regarded as the seeds for evolving the action research model. What is exciting about this new view is that it gets away from the traditional action research model, which implicitly describes any change process as functioning as a drawn out and somewhat simplistic process. Unfortunately, recent experience suggests that so many change efforts are going on at the same time in many organizations that a linear change approach no longer works. One reason is that so many concurrent change efforts lead to a crowding out effect. They burn people out and drive people crazy because it is not possible to remember all the change efforts going on at once. Against that backdrop of too many simultaneous change “projects,” a single-minded project-based approach to change is no longer workable. What is needed is a new model to guide change that does not assume a beginning, middle, and end to a change effort. Instead, change efforts are continuing and are regarded from a whole systems standpoint. Burke (2014) describes the phases of change as pre-launch, launch, and post-launch. The model is written as a guide for change leaders. Change efforts are regarded as proceeding like spirals rather than circles to depict their ongoing chaotic nature-and the view that what is learned from each phase of a change effort can be rolled into subsequent phases. In this way, organizations are transformed into learning organizations that “learn” from experience, and CHANGE PROCESS AND MODELS 45 Discovery “What gives life?” (the best of what is) Appreciating Destiny Dream “What will be?” “What might be?” Affirmative (how to empower, learn, (imagine what the world isTopic Choice and adjust/improvise) calling for) Sustaining Envisioning Design “How can it be?” (determining the ideal) Co-constructing Figure 3.2. AI 4-D Model THE EVOLVING VIEW OF THE ACTION RESEARCH MODEL Burke (2002, 2014) reviewed the change process. In doing so, he posited what might be regarded as the seeds for evolving the action research model. What is exciting about this new view is that it gets away from the traditional action research model, which implicitly describes any change process as functioning as a drawn out and somewhat simplistic process. Unfortunately, recent experience suggests that so many change efforts are going on at the same time in many organizations that a linear change approach no longer works. One reason is that so many concurrent change efforts lead to a crowding out effect. They burn people out and drive people crazy because it is not possible to remember all the change efforts going on at once. Against that backdrop of too many simultaneous change “projects,” a single-minded project-based approach to change is no longer workable. What is needed is a new model to guide change that does not assume a beginning, middle, and end to a change effort. Instead, change efforts are continuing and are regarded from a whole systems standpoint. Burke (2014) describes the phases of change as pre-launch, launch, and post-launch. The model is written as a guide for change leaders. Change efforts are regarded as proceeding like spirals rather than circles to depict their ongoing chaotic nature-and the view that what is learned from each phase of a change effort can be rolled into subsequent phases. In this way, organizations are transformed into learning organizations that “learn” from experience, and
46 PRACTICING ORGANIZATION DEVELOPMENT Post-Launch •Be persistent • Move people beyond comfort level • Manage avoidance mechanisms Launch • Initial activities • Deal with resistance Pre-Launch • Begin with self-examination • Examine personal disposition and decision making • Examine external environment • Establish the need for change • Provide clarity of vision and direction Figure 3.3. Action Research Model the spirals represent sequential learning curves of change. The new view of the action research model is depicted in Figure 3.3 and briefly summarized below. As Burke (2014) notes, “An interesting paradox about organization change is that we plan as if the process is linear when, in reality, it is anything but linear” (303). Pre-Launch. The pre-launch phase occurs before the change effort begins. It establishes the foundation for a successful change effort. Without it, a change effort is likely to fail-or be short-lived-as other, more pressing daily crises demand attention. Pre-launch begins effectively when leaders follow the famous advice of Socrates to “know thyself” and start with self-examination. Burke (2014) suggests considering several additional issues during the pre-launch phase: • Scanning the external environment • Establishing the need for change • Providing clarity of vision and direction Launch. The launch phase is the beginning of the change effort. It begins with communication to key stakeholders inside and outside the organization about the need for change. This is what some leaders call “making the business case,” and the case for change must be made by credible people who will be
CHANGE PROCESS AND MODELS 4 7 believed. According to Burke (2014), the key to the launch phase is creating initial activities that will seize attention and deal with resistance. A major challenge in a long-term intervention is to create a sustained communication strategy about the change effort. Stakeholders must be reminded what is being changed, why it is being changed, how the change effort is proceeding, and what benefits are being realized from the change effort (Rothwell 2001). Post-Launch. Post-launch involves sustaining a change effort over time. That can be particularly frustrating. The reason is that events in a change effort, even when successful, may appear to spiral out of control. Burke (2014) recommends that CEOs follow the advice of Heifetz (1994). He has three suggestions. First, be persistent. Second, help people in the organization move beyond their comfort levels while keeping stress to a minimum. And third, be prepared to manage during the change effort the predictable “avoidance mechanisms” that can surface such as “blaming, scapegoating, and appealing to authority figures for answers” (Burke 2014, 318). NEW ACTION RESEARCH CHANGE MODEL: PERPETUAL AND INSTANTANEOUS POSITIVE CHANGE Change consulting in the twenty-first century requires a new model-a model that works in an environment of rapid, chaotic change. Many consultants and managers today are frustrated by the time required for the traditional action research model, but it should not be abandoned. The response in our practice has been to create a model that responds more adroitly to the growing complexity of the consulting world but is based on the founding principles of the OD field. We reviewed hundreds of models being used in the field. One we particularly liked was Warner Burke’s. It seemed to supply a foundational framework to integrate into our traditional eight-phase model. Using his framework of pre-launch, launch, and post-launch, we came up with the model depicted in Figure 3.4. The model reflects the most current research around change agent competencies. It provides architecture to frame what change technologists do. The model is not a cookbook technique to be followed mindlessly but a change framework that drives what OD consultants do. This framework becomes a philosophical foundation that comes alive only with personal and creative application, since you (as OD consultant) are the instrument of change. Each phase of our new change model is discussed in this book. Here we will provide a brief overview of each phase. We call them phases because, unlike steps, different elements blend with others in myriad ways. As we have noted CHANGE PROCESS AND MODELS 4 7 believed. According to Burke (2014), the key to the launch phase is creating initial activities that will seize attention and deal with resistance. A major challenge in a long-term intervention is to create a sustained communication strategy about the change effort. Stakeholders must be reminded what is being changed, why it is being changed, how the change effort is proceeding, and what benefits are being realized from the change effort (Rothwell 2001). Post-Launch. Post-launch involves sustaining a change effort over time. That can be particularly frustrating. The reason is that events in a change effort, even when successful, may appear to spiral out of control. Burke (2014) recommends that CEOs follow the advice of Heifetz (1994). He has three suggestions. First, be persistent. Second, help people in the organization move beyond their comfort levels while keeping stress to a minimum. And third, be prepared to manage during the change effort the predictable “avoidance mechanisms” that can surface such as “blaming, scapegoating, and appealing to authority figures for answers” (Burke 2014, 318). NEW ACTION RESEARCH CHANGE MODEL: PERPETUAL AND INSTANTANEOUS POSITIVE CHANGE Change consulting in the twenty-first century requires a new model-a model that works in an environment of rapid, chaotic change. Many consultants and managers today are frustrated by the time required for the traditional action research model, but it should not be abandoned. The response in our practice has been to create a model that responds more adroitly to the growing complexity of the consulting world but is based on the founding principles of the OD field. We reviewed hundreds of models being used in the field. One we particularly liked was Warner Burke’s. It seemed to supply a foundational framework to integrate into our traditional eight-phase model. Using his framework of pre-launch, launch, and post-launch, we came up with the model depicted in Figure 3.4. The model reflects the most current research around change agent competencies. It provides architecture to frame what change technologists do. The model is not a cookbook technique to be followed mindlessly but a change framework that drives what OD consultants do. This framework becomes a philosophical foundation that comes alive only with personal and creative application, since you (as OD consultant) are the instrument of change. Each phase of our new change model is discussed in this book. Here we will provide a brief overview of each phase. We call them phases because, unlike steps, different elements blend with others in myriad ways. As we have noted
48 PRACTICING ORGANIZATION DEVELOPMENT Marketing Pre-Launch 1l:ansformative Launch Separation Continual Implementation and Adoption of Diverse Interventions Figure 3.4. Sullivan Rothwell Change Process Model above, change efforts are seldom sequential, so keeping the overall framework in mind is important. Marketing OD practitioners often stumble over themselves for marketing and selling. Internal change agents must also attend to marketing. Often they do not publicize their successes in their own enterprises and are thereby robbed of the credit they so richly deserve. All organizations want a present better than the past and a future better than the present. OD is all about doing just that. So the need for OD services exists. Pre-Launch Pre-launch begins when consultants clearly have clients committed to work with them. The marketing, selling, ·and entry issues are complete. It ends when the psychological and nonpsychological contract, relationship connecting, and clarification of expectations are completed. An old adage in the field says that if anything goes awry in the change effort, it can usually be traced back to mistakes made in this phase. Peter Block has had much to say about the importance of relationships in the early phases of a change effort. He says that the core competency in consulting is
CHANGE PROCESS AND MODELS 49 how to contract with clients. This is the heart of his most popular book, Flawless Consulting (Block 2011). For Block, contracting is about treating the relationship as significant and central. He believes one must continually process and reset the relationship. Modeling competency in relationship development will also help the client deal with key relationships. We intend to transfer our competence to the client system. Our research over the years has led us to believe that the ability to initiate and maintain excellent interpersonal relationships is paramount to success in the pre-launch phase and is essential to a successful engagement. Transformative Launch This phase starts the change process by assessing the situation and planning for action in to launch a long-term, ongoing effort. Sometimes, it’s a good idea to start with a striking catharsis or a euphoric liftoff! In other cases, a quiet start can be more effective as a team searches for early, quick wins in a sensitive situation. Ideally, the top team starts with itself. In either case, a flawless beginning can do much to commit the entire top team to supporting engagement and involvement of all parts of the organization. Some situations require transformative change, the dramatic shift in focus and priorities that can occur when conditions are just right. Transformative change is more than step improvement or incremental change. Freeing a caterpillar from an enclosed jar improves its situation but doesn’t change its nature. In transformation, the caterpillar becomes a butterfly. For transformative changes, the launch phase should be a striking and dramatically positive jump into a brilliant future. Today, we see the change cycle requiring a process and philosophy built in for constant reaction and continual planning efforts. It is not a phase of a long-term effort, but rather an ongoing implementation of a myriad of interventions, an endless loop (or spiral) of short-cycle change. In Figure 3.4, you can see the launch phase broken out into a submodel, which we call SPAR: Scan, Plan, Act, and Re-Act. Each phase or each session within a phase may include all four elements of SPAR. That is the Chinese box phenomenon-the famous puzzle consisting of a series of progressively smaller boxes inside a large box-which may typify many change efforts. In other words, when a change effort is big enough and long-term enough, the assessment and feedback moment or experience (for instance) may itself have an entry component, a start-up component, and so forth. Scan. Diagnosis traditionally is the phrase used to describe the major function of the Scan phase. Our quantitative research over the years involving almost four thousand change agents has produced many heated arguments over whether to use assessment or diagnosis. We have been won over to the assessment side of the street because diagnosis comes more from a CHANGE PROCESS AND MODELS 49 how to contract with clients. This is the heart of his most popular book, Flawless Consulting (Block 2011). For Block, contracting is about treating the relationship as significant and central. He believes one must continually process and reset the relationship. Modeling competency in relationship development will also help the client deal with key relationships. We intend to transfer our competence to the client system. Our research over the years has led us to believe that the ability to initiate and maintain excellent interpersonal relationships is paramount to success in the pre-launch phase and is essential to a successful engagement. Transformative Launch This phase starts the change process by assessing the situation and planning for action in to launch a long-term, ongoing effort. Sometimes, it’s a good idea to start with a striking catharsis or a euphoric liftoff! In other cases, a quiet start can be more effective as a team searches for early, quick wins in a sensitive situation. Ideally, the top team starts with itself. In either case, a flawless beginning can do much to commit the entire top team to supporting engagement and involvement of all parts of the organization. Some situations require transformative change, the dramatic shift in focus and priorities that can occur when conditions are just right. Transformative change is more than step improvement or incremental change. Freeing a caterpillar from an enclosed jar improves its situation but doesn’t change its nature. In transformation, the caterpillar becomes a butterfly. For transformative changes, the launch phase should be a striking and dramatically positive jump into a brilliant future. Today, we see the change cycle requiring a process and philosophy built in for constant reaction and continual planning efforts. It is not a phase of a long-term effort, but rather an ongoing implementation of a myriad of interventions, an endless loop (or spiral) of short-cycle change. In Figure 3.4, you can see the launch phase broken out into a submodel, which we call SPAR: Scan, Plan, Act, and Re-Act. Each phase or each session within a phase may include all four elements of SPAR. That is the Chinese box phenomenon-the famous puzzle consisting of a series of progressively smaller boxes inside a large box-which may typify many change efforts. In other words, when a change effort is big enough and long-term enough, the assessment and feedback moment or experience (for instance) may itself have an entry component, a start-up component, and so forth. Scan. Diagnosis traditionally is the phrase used to describe the major function of the Scan phase. Our quantitative research over the years involving almost four thousand change agents has produced many heated arguments over whether to use assessment or diagnosis. We have been won over to the assessment side of the street because diagnosis comes more from a
50 PRACTICING ORGANIZATION DEVELOPMENT medical model looking for something sick. Assessment is typically known as a classification of someone or something regarding its worth. When a change process is positive, conversations are energizing. The process entropies when conversations are about problems, negativity, and blamestorming. This is the phase where valid information is central. Common sense and classic research agree. Too often we see people in organizations jump right into the end-state planning without generating an accurate picture of where they are now and a clear view of a desired destiny. Asking the right questions is key. David Cooperrider (founder of Appreciative Inquiry, which depends heavily on crafting the right questions) says that he spent days of intense concentration determining the exact questions he would use in breakout groups while he facilitated leaders of all the major world religions in a summit. Asking the right questions has much to do with where the client system lands in the next phase of planning. Usually we like to co-create scanning questions with the client. They know better than we do what is important. Often they need help rephrasing questions that could elicit negative, and perhaps unhelpful, responses. In sum, the scan phase is about helping the client system get a comprehensive view from individuals or small groups about where they are and wish to be. Creating a system-wide synthesis and common-ground intelligence base comes in the next phase. Plan. There is a wide assortment of techriiques and methods that can be used to plan what you will act on. What approach should you use? It all depends. It may depend on the scope of the effort, the style of leadership, or the nature of the data-collection methodology. Here are some practical tips for the Plan phase: • Feed back the data in a distilled manner • Spend some time validating the data collected • Do allow the system to disturb itself • Be sensitive in confrontation • Work together to create compelling propositions • Ensure that clients are able to freely choose their plan • Anticipate and name the resistance that may arise • Create a simple, elegant master plan format Act. Acting the plan is the heart and soul of what we do in OD, where the interventions we have planned with clients are carried out. The Act phase is where we get the results and where we add value. When we do it well, performance improves. If we have done all previous phases and subphases competently, success should spontaneously occur.
CHANGE PROCESS AND MODELS 51 Chris Argyris (2004) offers a clear, simple, and profound statement around “Act.” He writes, “In to act, human beings diagnose problems, invent solutions, and evaluate the effectiveness of what they have produced” (p. 2). These are indeed the same steps we are describing in SPAR. A key competency of an OD practitioner is to facilitate client conversation to help these effective change actions happen. Argyris continues by noting that “productive reasoning (1) produces valid knowledge, (2) creates informed choices, and (3) makes personal reasoning transparent in for the claims to be tested robustly. The core of productive reasoning is that the parties involved are vigilant about striving to avoid unknowingly deceiving themselves and others” (2004, 3). The following are some practical tips for the Act phase: • Increase the quality of the conversation • Facilitate high-performing relationships • Establish a climate of trust and openness • Empower all to “act” through engagement • Ensure that the people in the organization are prepared to support the action • Engage the leaders • Help internal change agents Re-Act. The Re-Act phase occurs in more than one way. Planning renewal is a must. Re-action is necessary as the organization responds to the implementation of the plan. The action plan always evolves differently than you might have expected, so your plan must be updated and adjusted. Reaction feeds corrective action. Now is also the time to extract the learning from the previous three phases and to be prepared for the next cycle of SPAR. The following section highlights issues related to this phase: • Obtain information on which to base reaction • Deal with challenges • Avoid slippage to old ways • Celebrate success • Apply lessons learned Every year or so, depending on how much people in an organization thirst for positive change, the change effort may start back at the launch phase when a deep dive transformation lift is needed. For one of our clients, the largest financial system in South Africa, launching transformative change has become a way of life. They are known to do a dozen summits per year. The summits
5 2 PRACTICING ORGANIZATION DEVELOPMENT are designed where the system boundaries are open to customers and events in the …

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