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Theories and Practices of Organizational Development

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HANDBOOK
of
PSYCHOLOGY

VOLUME 12
INDUSTRIAL AND ORGANIZATIONALPSYCHOLOGY

Walter C. Borman
Daniel R. lIgen
Richard J. Klimoski
Volume Editors

Irving B. Weiner
Editor-in-Chief

13 THEORIES AND PRACTICES OF ORGANIZATIONAL DEVELOPMENT 309


John R. Austin and Jean M. Bartunek

~
John Wiley & Sons, Inc.
CHAPTER 13

Theories and Practices of Organizational Development


JOHN R. AUSTIN AND JEAN M. BARTUNEK

ORGANIZATION DEVELOPMENT TODAY, Barrier 2: Different Goals and Audiences 323


NOT YESTERDAY 310 Barrier 3: Different Theoretical Antecedents 324
THE CONCEPTUAL 'KNOWLEDGE OF STRATEGIES FOR OVERCOMING BARRIERS
ORGANIZATIONAL DEVELOPMENT 311 TO KNOWLEDGE TRANSFER 324
Change Process Theories 312 Same-Author Translation 325
Samples of Contemporary Interventions in Multiple-Author Translation 325
Organizational Development 316 Common Language Translation 326
Implementation Theories 319 Translating Implementation Theory to Change
THE CONNECTION BETWEEN IMPLEMENTATION Process Theory 326
THEORIES AND CHANGE PROCESS THEORIES 321 CONCLUSION 326
THE DIVIDE BETWEEN IMPLEMENTATIONTHEORIES REFERENCES 327
AND CHANGE PROCESS THEORIES 322
Barrier 1: Different Knowledge Validation Meth~ 322

From its roots in action research in the 1940s and 1950s is also the case that many new methods of accomplishing
(Collier, 1945), and building on Lewin's insight that "there is planned organizational change have been developed by
nothing so practical as a good theory" (Lewin, 1951, p. 169), people who were focusing in particular on practice contribu-
organizational development has explicitly emphasized both tions (e.g., team building, sociotechnical systems, and large-
the practice. and the scholarship of planned organizational group interventions, to namejust a few). It is through practice
change. Ideally, at least, research is closely linked with action that organizational improvement actually takes place.An-
in organizational development initiatives, and the solution other way to put this is that organizational development prac-
of practical organizational problems can lead to new schol- titioners have a substantial knowledge base from which it is
arly contributions (pasmore & Friedlander, 1982; Rapoport, valuable for academics to draw, albeit one that is sometimes
1970). m.oretacit than explicit, just as practitioners may draw from
Despite this more or less implicit expectation, there have academics' knowledge (e.g., Cook & Brown, 1999).
been many disconnects between practitioners' and acade- It is not only with respect to organizational development
mics' approaches to contributing new knowledge. For exam- that there are separations between academic and practitioner
ple, action research as it was originally conceived " became approachesto organizationalknowledge.Rynes,Bartunek, and
more and more practice and solution oriented and less fo- Daft (2001),introducing a specialresearch forum on academic-
cused on making a scholarly con1:rj.bution(Bartunek, 1983). practitioner knowledge transfer in the Academy of Manage-
Some recent approaches to organizational development, such ment Journal, referred to the "great divide" between academics
as many large-group interventions, have been implemented and practitioners in organizational research. But they also ar-
primarily by practitioners, with little academic investigation gued that there are many reasons-academic, economic, and
of their success. Some theories of change formulated by aca- practical-why it is important that more explicit links be de-
demics are not at all feasible to implement. veloped between academics and practitioners. For example,
It is easy enough for academics to suggest that practi- corporate universities are becoming more prominent, and
tioners' work is not sufficiently novel and thought-out to training organizations such as the American Society for Train-
contribute to scholarly understandings of change. However, it ing and Development are gaining substantiallyin membership.

309
310 Theories and Practices of Organizational Development

A recent Swedish law mandated that universities collaborate used often by practitioners (Schmuck, Runkel, Saturen,
with their local communities in generating research (Brulin, Martell, & Derr, 1972).
1998).Many work organizationsare outsourcing some knowl- We believe that the kinds of knowledge~r knowing, as
edge-generation activities to academics. Given organizational Cook and Brown (1999) put it~f organizational develop-
development's history, the development of understanding and ment practice do pot always link as well as they might with
appreciation of both academic andpractitioner contributions is academic scholarship on change. But developing greater links
particularly crucial. is crucially important because at its core organizational devel-
Several reviews of organizationaldevelopment and change opment involves the promotion of change. In their interviews
have been presented prior to this chapter (recent ones include with a number of organizational development "thought
Armenakis & Bedeian, 1999; Porras & Robertson, 1992; leaders," Worley and Feyerherm (2001) found numerous rec-
Weick & Quinn, 1999). These reviews have made important ommendations for increased collaboration between organiza-
scholarly contributions to the understanding of such topics as tional development practitioners and other change-related
variables involved in planned organizational change; the disciplines.
content, context, and processes of organizational change; and Our focus is on the theoretical and ,practical knowledge
the degree to which such change is constant or sporadic. But underlying today's organizational development practice.
prior reviews have not explicitly incorporated both practi- Worley and Varney (1998) remind us that the practice re-
tioner and academic knowledge about organizational develop- quires skill competencies as well as knowledge competen-
ment. In contrast to these prior approaches, we focus on the cies. Skill competencies include managing the consulting
kinds of emphases that characterize practitioner and academic practice, analysis, and diagnosis; designing and choosing
knowledge regarding organizational development and do appropriate interventions; developing client capability; and
this using both academic and practitioner literatures. In so evaluating organizational change. In this chapt~r we examine
doing, we hope to break down some of the barriers that typi- the theories. of change that inform the application. of these
cally exist between organizational development practice and skills. Detailed consideration of these skill competencies is
scholarship. beyond the scope of this chapter but can be found in other re-
We divide the chapter into several sections.First we briefly sources (Cummings & Worley, 2000; French & Bell, 1999).
compare contemporary and earlier organizational devel-
opment emphases. Organizationaldevelopment is an evolving
field, and its emphases today are not the same as its initial em- ORGANIZATION DEVELOPMENT TODAY,
phases (Mirvis, 1990).The state of the field at the present time NOT YESTERDAY
has implications for the types of knowledge needed by practi-
tioners and academics. Early approaches to organizational development centered
Second, we use a distinction introduced by Bennis (1966) primarily on the implementation of humanistic ideals at
and modified by Porras and Robertson (1992) to distinguish work. The types of values emphasized included personal de-
different types of conceptual emphases between practice and velopment, interpersonal competency, participation, commit-
academic scholarship on change. Third, on the basis of this ment, satisfaction, and work democracy (French & Bell,
distinction we situate organizational development within 1999; Mirvis, 1988). The focus genbrally was within the
larger literatures on otganizational change. Although in its workplace.
early days organizational development was often seen to rep- Over time, however, there has been a shift in emphases. In
resent the majority of approaches to "planned change" in or- comparison to its early formulations, organizational develop-
ganizations, it is now recognized as one of many approaches ment pays much more attention to the larger environment in
to planned change. We situate it within various "motors" of which the business operates and aims at helping businesses
change as these were described by Van de Ven and Poole accomplish their strategic objectives, in part through organi-
(1995). zational alignment with the larger environment (e.g., Bunker
Fourth, we describe some contemporary organizational & Alban, 1996; Church & Burke, 1995; Mirvis, 1988, 1990;
development interventions and the motors in practice that we Seo, Putnam, & Bartunek, 2001).
see as important in them. Finally, we describe barriers to en- Early approaches. placed considerable emphasis on indi-
hanced links between academics and practitioners and then vidual and group development (e.g., Harrison, 1970), and
suggest some strategies that may be used to reduce these bar- although the terms "whole organization" was used, the types
riers. This latter approach is in the spirit of the force field of change fostered by organizational development often
analysis approach developed originally by Lewin (1951) and focused more on the group (e.g., team building) or on other
The Conceptual Knowledge of.Organizational Development 311

organizational subunits. Given the organizational ~nviron- attempt to answer the question of how and why change
ment of the 1980s and beyond, individual development occurs. Theories of changing attempt to answer the ques-
and group development have been less emphasized unless tion of how to generate change and guide it to a successful
they are treated within the context of large systems change conclusion. Porras and Robertson (1987, p. 4) expanded on
and the adjustment of an organization to its larger environ- Bennis's notion, relabeling the two different approaches
ment. Such adjustment often involves radical departure from as change process theory and implementation theory. (Al-
the organization's prior strategic emphases (Nadler, Shaw, & though the categories are essentially the same, we will use
Walton, 1995) and is sometimes referred to as organizational Porras and Robertson's terms because they are much easier
transfonnation (e.g., Nadler et al., 1995;Quinn & Cameron, to distinguish.)
1988; Tichy & Devanna, 1986; Torbert, 1989) or radical or- Porras and Robertson (1987, 1992) described change
ganizational culture change (e.g., Cameron & Quinn, 1999). process theory as explaining the dynamics of the change
Despite the shifts that have occurred in the understanding process. This approach centers around the multiple types of
of organizational qevelopment's focus, there remains an variables involved in the accomplishment of planned change.
emphasis on organizational development as humanistically In contrast, they describe~ implementation theory as "theory
oriented-as concerned about the people who make up an that focuses on activities change agents must undertake in ef-
organization, not just the strategic goals of the organization. fecting organizational change" (p. 4). They included strategy,
Thus, for example, Church, Waclawski, and Seigel (1999)de~ procedure, and technique theories as examples of implemen-
fined organizational development as the process of promoting tation approaches.
positive, humanistically oriented, large-system change. By Porras and Robertson's focus was primarily on organiza-
humanistic they mean that the change is "about improving tional development interventions as explicitly defined. As
the conditions of people's lives in organizations" (p. 53), noted earlier, however, the understanding of dynamics of
Beer and Nohria (2000) included organizational dev~lopment change has been widened well beyond organizational devel-
within the category of capacity-building interventions in or- opment (e.g., Weick & Quinn, 1999; Van de Ven & Poole,
ganizations, not as primarily economically oriented. 1995). Porras arid Robertson also asserted that change
This shift in emphasis locates organizational development process theory should inform implementation theory; that is,
within the context of multiple types of organizational change the findings of academic research should inform practice.
efforts (Van de Ven & Poole, 1995). It cannot be discussed There is awareness now that organizational development
entirely separately from types of change that, at first glance, practice should also have an impact on academic knowledge
s~em far removed from its emphases. However, there are still (Ryneset al., 2001).
important distinctions between the practice knowledge and In $is chapter we expand on the understandings of change
academic knowledge of organizational development and process theory andimplementation theory. We describe an
other types of planned change. array of change processtheori~~ using the model developed
by Vande Ven and Poole (1995) for that purpose. We also de-
scribe several implementation models .and suggest possible
THE CONCEPTUAL KNOWLEDGE OF liJIksbetween them and change process models.
ORGANIZATIONAL DEVELOPMENT We noted that academic writing tends to focus more
on change process theory whereas practitioner writing fo-
Contemporary as well as past approaches to organizational de- cuses more on implementation theory. There has beenrela-
velopment are based on more or less explicit assumptions tively little interaction between the two types of theories; to
about (1) the processes through which organizations change some extent they occupy separate intellectual spaces and are
and (2) the types of intervention approaches that lead to held in more orIess separate "communities of practice" (J. S.
change. These two phrases, which seem quite similar, actually Brown & Duguid, 1991, 1999; Tenkasi, 2000). Change
representtwo different conceptualapproaches:one that is more process theories tend to draw from empirical work grounded
likely to be addressed by academic writing on organizational in academic fields such as psychology, sociology, economics,
development and one that is more likely to be addressed by and anthropology. Implementation theories tend to draw
practitioner writing. We use them to frame approaches to from practitioner-oriented experiential work; they may
change that are presented primarily for academics and primar- emerge from the same academic disciplines as change
ily for practitioners. process theories but do not make the connections explicit. It
In 1966 Bennis distinguished between theories of is hoped that this chapter suggests useful connections be-
change and theories of changing. Theories of change tween the two.
312 Theories and Practices of Organizational Development

Change Process Theories and its environment. Following this teleological logic, sev-
eral researchers have sought to understand the role of leader-
Porras and Robertson (1992) concluded their review of orga-
ship in generating organizational change (Nutt & Backoff,
nizational change and development research with a call for
1997). Bass's transformational leadership framework (Bass,
increased attention to theory in change research. Through
1985; Bass & Avolio, 1994) posits that organizational change
attention to the variety of ways organizations might change,
this call has been answered. emerges as the result ofleaders' attempts to develop their fol-
lowers and transform follower goals to match more closely
Researchers have approached the task of understanding
those of the organization. Other researchers view organiza-
organizational change from a dizzying array of perspectives.
tional change as the end result of cognitive development of
In their interdisciplinary review of about 200 articles on
organizational leaders (Hooijberg, Hunt, & Dodge, 1997;
change, Van de Ven and Poole (1995) identified four ideal Torbert, 1991).
types of change theories. They labeled them as life cycle,
evolution, dialectic, and teleology and located organizational
Cognitive Framing Theories. Several studies empha-
development primarily within the teleological framework..
size the importance of cognitive change by managers in
These four types are distinguished by their underlying gener-
creating organizational change. Reconceptualization of the
ative mechanisms, or motors. Van de Ven and Poole sug-
context then leads to further cognitive change in a continuing
gested that most change theories can be understood within
iterative process (Barr, Stimpert, & Huff, 1992; Bartunek,
one motor or in a combination of motors.
Krim, Necochea, & Humphries, 1999; Weick, 1995). Gioia
We found evidence of extensive theory development
and Chittipeddi (1991) found that managerial efforts to com-
pertinent to organizational development based on each
municate a planned change built cognitive consensus, which
change motor. In the following sections we summarize recent
further enabled the change.
change research categorized by primary underlying motor
of change. With Van de Ven and Poole (1995) we recognize
Change Momentum. Studies of change momentum
that most change theories capture elements from different
within organizations have relied on the evolutionary motor to
motors, although one motor is typically primary.
explain selection of organizational routines, which in turn
The Teleological Motor
create inertial forces (Amburgey, Kelly, & Barnett; 1993;
Kelly & Amburgey, 1991). Jansen (2000) proposed a new
The teleological motor describes organizational change as the conceptualization of momentum that focuses on teleological
result of purposeful social constructionby organization mem- processes of change. She distinguished between inertia, the
bers. The motor of development is a cycle of goal formation, tendency of a body at rest to stay at rest or a body in motion
implementation, evaluation, and modification. Organizational to stay in motion, and momentum, the force or energy associ-
change is goal driven; impetus for change emerges when ac- ated with a moving body. Evolutionary change theories deal
tors perceive that their current actionsare not enabling them to primarily with inertia. However, momentum is a teleological
attain their goals, and the focus is on processes that enable theory. The force that keeps a change moving is goal driven
purposeful activity toward the goals. The teleological motor and purposeful. Jansen found that change-b~sed momentum,
can be found in most contemporary theories of organizational defined as the perception of the overall' energy associated
change. For example, recent extensions of evolutionary theo- with pursuing some end state, fluctuated in a systematic way
ries and institutional theories-evolutionary innovation and throughout a change process.
institutional agency-have adopted a teleological motor.
Change leadership theories rely on the teleological motor Theories of Innovation. Several researchers consider
as well. In the following we summarize some teleological how individual attempts at innovation combine with environ-
change theories that have emerged or reemerged during the mental characteristics to generate organizational change
prior decade. (c. M. Ford, 1996; Glynn, 1996). Glynn proposed a theoreti-
cal framework for how individual intelligence combines with
Strategic Change. Rajagopalan and Spreitzer (1996) organizational intelligence to generate creative ideas. These
observed that strategic change deals primarily with teleolog- ideas are then implemented provided that certain enabling
ical change. Underlying most strategic change theories is conditions (adequate resources and support, incentives and
the understanding that planned change triggered by goal- inducements) are present. This process presents a model of
oriented managers can trigger change in both an organization organizational change that is driven by individual cognitions i
i
i
!
Ii
The Conceptual Knowledge of Organizational Development 313
I
I
I
and collective sense-making processes within the organi- equilibrium. It emerges as a motor in several contemporary
zation. Oldham and Cummings (1996) and Drazin and organizational development approaches discussed in the next
Schoonhoven (1996) reported evidence of multilevel influ- section, such as transformil/-gleadership (Torbert, 1989) and
I ences on organizational innovation driven by individual cre- advanced change theory (Q~inn, Spreitzer, & Brown, 2000).
ative action. Amabile, Conti, Coon, Lazenby, and Herron
I
I (1996) built from an individual level of creativity to identify Punctuated Equilibripm. The evolution-revolution
i group- and organization-level constraints on individual cre- framework of organizatio~al change (Greiner, 1972) has
I, ativity and subsequent organization-level innovation. formed the foundation of many recent organizational change
!
Taken together, research on innovation and creativity re- theories (Mezias & Glynn, :1993)that have been used to de-
veals a complex mix of predictors of organizational change. scribe dynamics in organizations.
I Greiner described the typi-
At the center of these predictors is the teleological assump- cal life cycle of an organization as consisting of extended
I

tion of goal-driven, purposeful action. As Orlikowski and evolutionary periods of inc~ementalchange interspersed with
Hofman (1997) not;ed,the specific decisions and immediate short revolutionary period~. This framework provides the
strategies may be unplanned improvisations, but they are basis for recent theories Of strategic redirection (Doz &
guided by a goal-driven theme. Recent theorizing on organi- Prahalad, 1987), transfoflD,ation(Laughlin, 1991), punctu-
zational innovation highlights the interaction between pur- ated equilibrium (Tushman 1&Romanelli, 1985), and change
poseful action, sense making, organizational settings, and archetypes (Greenwood & Hinings, 1993). During reorienta-
environmental jolts to trigger organizational change (Drazin, tions large and important parts of the organization-strategy,
Glynn, & Kazanjian, 1999). structure, control systems, find sometimes basic beliefs and
Organizational development in recent years reflects many values--change almost simJ11taneouslyin a way that leads to
of these approaches. As noted earlier, there is much greater very different organization# emphases.
emphasis now on accomplishing strategic ends €Bartunek Whereas Tushman and Romanelli (1985) suggested the ef-
et aI., 1999; Jelinek & Litterer, 1988)and on the role ofleader- fectiveness of punctuated e4uilibrium approaches to change,
shipin these processes (Nadler & Tushman, 1989). There has others suggested some cau~ons in the use of this approach.
also been some attention paid to cognitive framing of different Previously established c°nl-petencies may be threatened by
participants in a merger process (Marks & Mirvis, 2001). As transformations (Amburge~ et al., 1993). In addition, Sastry
part of the understanding of change processes, questions have (1997) found that reorientat~onprocesses increased the risk of
been raised about resistance to change (e.g., Dent & Goldberg, organizational failure unles~ evaluation processes were sus-
1999). pended for a trial period aft~rthe reorientation. However, cer-
tain change processes may lenable successful reorientations;
The Life Cycle Motor Mezias and Glynn (1993), fpr example, suggested that previ-
ously established routines flilayguide reorientations in such a
The life cycle motor envisions change as a progression way that competencies are 40t destroyed.
through a predetermined sequence of stages. The ordering
Questions have also beenlraisedabout how frequent true re-
of the stages does not change, but the speed of progress and orientations of the type suggested by Tushman and Romanelli
the triggers that lead to advancement through the process are. Cooper, Hinings, Green~ood, and Brown (1996) recently
vary. Van de Ven and Poole (1995) noted that the "trajectory suggested that instead of V'tie reorientations, the types of
to the final end state is preconfigured and requires a specific change that typically occurIinvolve one layer of orientation
historical sequence of events" (p. 515). placed on top of another laytfrthat represents the prior orienta-
Whereas life cycle models of organizational change prolif- tion. Reger, Gustafson, Dervtarie, and Mullane (1994) also
erated in the 1970s and 1980's (Quinn & Cameron, 1983), we suggested that changes maYIoften include this type of middle
found little continued theoretical development of this motor ground.
since 1995. One exception is in the area of entrepreneurship, As noted earlier, punctuated equilibrium theories
where theorists continue to use a life cycle motor to under- (Gersick, 1991; Tushman &JRomanelli, 1985) emphasize the
stand the development and failure of new ventures (Hanks, life cycle motor (the normallinterspersing of evolutionary and
Watson, Jansen, & Chandler, 1994), including self-organized revolutionary periods) but pombine it with the teleological
transitions (Lichtenstein, 2000a, 2000b). Variations of the motor. Organizational actorS,especially leaders, purposefully
life cycle model, especially in conjunction with the teleologi- respond to environmental conditions that require a particular
cal motor, are apparent in recent research on punctuated type of change in order to achieve effectiveness.
314 Theories and Practices of Organizational Development

The Dialectic Motor Communicative Change Theories. Drawing from no-


tions of social construction (Berger & Luckmann, 1966) and
The dialectic motor des.cribesorganizationalchange as the re- structuration(Giddens, 1984), several theorists have begun to
sult of conflict between opposing entities. New ideas and val- consider change as an element of social interaction. Change is
ues must directly confront the status quo. This motor builds recognized and generated through conversation and other
from the Hegelian process of a thesisand antithesis coming into forms of communication (J. D. Ford, 1999a;J. D. Ford &Ford,
direct conflict. There are then severalpaths that may be taken, 1995). Organizations consist of a plurality of perspectives that
including separating the thesis and antithesis, attempting to are revealed through conversation (Hazen, 1994) that form the
create a synthesis of them, and attempting to embrace the dif- context for all organizational action. When different perspec-
fering perspectives (e.g., Baxter & Montgomery, 1996; Seo tives meet through conversation, either a synthesized perspec-
et al., 2001). Some arguethat achievinga synthesis that appears tive is generated or one perspective is spread. New and old
to close off change may be less productive than developing or- perspectives coexist within the organization at the same time
ganizational capacity to embrace conflicting approaches (cf. as the newer synthesized understanding diffuses through mul-
Bartunek. Walsh, & Lacey,2000). . tiple conversations (Gilmore, Shea, & Useem, 1997). Whether
The dialectic motor often drives cognitive and political
the end result is synthesis or diffusion is partially determined
change theories and plays a prominent role in schematic by the significance of the perspectives and interaction to the
change theories and communicative change models. It also identities of the participants (Gergen & Thatchenkery, 1996).
forms the basis for a number of organizational development Significant organizational change typically requires new orga- .
approaches outlined in the next section.
nizational language that results from the conversation~ di-
alectic (Barrett, Thomas, & Hocevar, 1995) and that realigns
Schematic Change. Schematic models of change build discordant narratives and images (Faber, 1998).
from an understanding of individual cognitive processing to
understand how changes occur in shared schemas. Schemas The Evolutionary Motor
are cognitive frameworks that provide meaning and struc-
ture to incoming information (Mitchell. & Beach, 1990). The evoluti(;marymotor focuses on change in a given popula-
Organizational change is categorized by the level of change tion oyer time. It involves a continuous cycle of variation,
in the shared schemas. First order change occurs within selection, and retention. Evolutionary theories of organiza-
a shared schema and second order change involves change tional change focus on environmental conditions that create
in the shared schema (Watzlawick, Weakland, & Fisch, inertial pressures for organizational change. Change theories
1974). built around this motor begin with the assumption that one
Change in schemas typically occurs through a dialectic must understand the environmental setting of an organi~ation
process triggered by the misalignment of a schema in use in order to understand the dynamics of change. Organizations
with the context (e.g., Labianca, Gray, & Brass, 2000). If a evolve based on their ability to respond and adapt to these
situation does not fit within an expected schematic frame- powerful external forces. In the early 1990s.the evolutionary
work, the person shifts to an active processing mode (Louis motor was most evident in population ecology models. How.
& Sutton, 1991). In this mode, the individual uses environ- ever, it is also the driving force of change in recent research
mental cues to generate a new schema or modify an existing on the rate of organizational change and in theories of insti.
one. The direct comparison of the schema (thesis) to the con- tutional change.
text (antithesis) creates the change. ,
This schematic dialectic is applied to organizational Internal Change Routines. Research on organizational ~
change through change in shared schemas. Bartunek (1984) routines applies variation, selection, and retention to intraor.:!
proposed that organizational schema change required a ganizational processes by considering how individual actions
direct conflict between the current schema and the new are selected and retained within the population of organiza.
schema. Such conflict between schemata underlies large-scale tion members.
organizational changes including major industry change Nelson and Winter (1982; see also Feldman, 2000) pro.i
(Bacharach, Bamberger, & Sonnenstuhl, 1996), organiza- posed that organizations develop routines, or patterns of~
tional breakup (Dyck & Starke, 1999), organizational identity action, that drive future action. Routines become more devel.1I
change (Dutton & Dukerich, 1991;Reger et aI., 1994), and or- oped and complex as they are used. Routines that involvo ..
ganizational responses to new economic systems (Kostera & changing current routines are called modification routines.
Wicha,1996). Like other organizational routines, modification routines canl

--
The Conceptual Knowledge of Organizational Development 315

be relatively stable over time, leading the organization to form to institutional norms that create barriers to innovations
approach organizational change in a consistent manner. Well- (North, 1990; Zucker, 1987). However, as Greenwood and
developed routines of organizational change enable an orga- Hinings (1996) noted, theories of stability are also theories of
nization to adjust to different demands for change by change.
modifying the content of the change but using a consistent Institutional theory proposes that organizational actions are
process to manage the change (Levitt & March, 1988). determined by the ideas, values, and beliefs contained in the
Experience with a certain type of change enables an organi- institutional environment (Meyer & ~owan, 1977). Strong
zation to refine its routines for implementing that type of institutional environments influence organizational change
change. As a result, the organization develops expertise with by legitimating certain changes and organizational forms
that type of change and may be more likely to initiate similar (DiMaggio & Powell, 1991). In order for an organizational
changes in the future. For example, in their study of the Finnish change to be successful, it needs to be justified within the in-
newspaper industry,Amburgey et al. (1993) found that experi- stitutional system of values (D' Aunno, Sutton, & Price, 1991).
ence with a ceffi\in type of organizational change increased In addition, broader institutional forces sometimes trigger or-
the likelihood that a newspaper would initiate a similar type ganizational change (Greenwood &Hinings, 1993) or provide
of change again. They argued that this process occurs because comparisons that in turn prompt such change (Fligstein, 1991;
the organization develops competence with the change type. Greve, 1998).
Thus, costs of change are lowered and the organization is Institutional change theories rely on the evolutionary
likely to see the change as a solutionto an increasing number of motor to understand the dynamics of change. Isomorphic
problems. pressures on organizations act as a selection and retention
Hannan and Freeman (1984) used the notion of organiza- process for validating organizational changes. However, in-
tional routines to explain how organizations attempt to in- stitutional theorists emphasize that organizational actors play
crease the reliability of their actions and enable organizations a part in creating the institutional forces that restrain them
to create conditions of stability in relatively unstable envi- (DiMaggio & Powell, 1991; Elsbach & Sutton, 1992;Oliver,
ronments. They posited that these routines institutionalize 1991; Suchman, 1995). Thus, institutional models of changr
certain organizational actions and create organizational iner- have begun to build teleological motors into theories of insti-
tia, which hinders the organization's ability to change. Kelly tutional change by considering the strategic actions of
.

and Amburgey (1991) extended this model by showing that institutional actors (Bloodgood & Morrow, 2000; Johnson;
the same routinization processes that create inertia can also Smith, & Codling, 2000). For example, Creed, Scully, and
create momentum. Routines that institutionalize a certain rate Austin (forthcoming) illustrated how organizational activists
of change create conditions that encourage change consistent selectively use available institutional logics to legitimate
with those routines. While disruptions in routines brought controversial changes in workplace benefits policies.
about by organizational change can destroy competencies
(Levitt & March, 1988), that same organizational change can
Summary of Change Process Research
create competencies that make future organizational change
more effective (Amburgey & Miner, 1992). -Change process theory continues to develop and evolve. Dur-
S. L. Brown and Eisenhardt (1997) found that organiza- ing the past decade new approaches to understanding change
tions establish an internal pacing mechanism to operate in a processes have emerged from each change motor identified
constantly changing environment. For example, managers by Van de Ven and Poole. Contemporary theorizing fre-
plan to release new versions of their products every nine quently draws from multiple motors with comparatively
months or set goals targeting a certain amount of income that great attention to the teleological motor. Attempts to under-
needs to come from new products each year. While orga- stand such multilevel issues as institutional agency, innova-
nizations continue to respond to environmental changes, tion, and temporal pacing of organizational change require
they may devote a larger percentage of their resources to that researchers build links between theories of individual
developing internal capabilities to change regardless of in- change and theories of organizational change. Interactions
dustry pressures. between research on individual resistance to change, organi-
zational-level political pressures, and institutional constraints
Institutional Change. Institutional theory is often asso- can lead to further clarification of change process at each
ciated with stability rather than with change. Organizations level. Thus, multilevel theorizing can expand our understand-
grow more similar over time because the institutional ing of change processes and may lead to the identification of
environment provides resources to organizations that con- additional change motors.
316 Theories and Practices of Organizational Development

Samples of Contemporary Interventions observation that by focusing on the positive elements about
in Organizational Development "what is," participants create a desire to transform the system.
In a recent critique of appreciative inquiry, Golembiewski
Several approaches to intervention characterize contempo- (1998) argued for a more balanced examination of the benefits
rary organizational development. it is neither possible nor de- of this type of intervention and increased attention to how ap-
sirable to give a complete list here. In this section, however, preciative inquiry might connect with other approaches and
we identify some organizational development interventions theories of change.
that have been prominent since the early 1990s. We start at Appreciative inquiry is playing an increasingly important
this date in order to capture trends present since Porras and global role. It has been successful as an approach to global
Robertson's (1992) review of the field. (Some of these, how-
consultation efforts (e.g., Barrett, 1995; Barrett & Peterson,
ever, were developed in advance of 1990.)All the approaches 2000), in part because it emphasizes appreciation of different
we summarized have been used in a number of countries
approaches. Mantel and Ludema (2000), for example, de-
around the globe. scribed how appreciative inquiry creates new language that
Our review includes articles published in both academic - supports multiple positive ways of accomplishing things.
and practitioner journals. It is not meant to be exhaustive, but This is particularly important in a global setting in which
illustrative of the theories that have drawn the most attention
people are operating out of very different perspectives on the
in the 1990s. These approaches include appreciative inquiry, world (Tenkasi, 2000).
learning organizations, and large-scale interventions. We also
discuss employee empowerment. There is no one universally
accepted method of accomplishing empowerment, but it is a Large-Group Interventions
more or less explicit goal of much organizational develop- As noted at the beginning of this chapter, the primary con-
ment work as well as an expected means through which or- ceptual basis for organizational development has been action
ganizational development efforts achieve their broader ends. research. As it was originally designed, action research cus-
tomarily begins by searching out problems to be addressed.
Appreciative Inquiry
However, B?nker and Alban (1996) recounted that by the
Cooperrider and Srivastva (1987) introduced appreciative 1970s so~e concern had been raised about this approach;
inquiry as a complement to other types of action research. Ronald Lippitt believed that starting with problems caused
Since then appreciative inquiry has emerged as a widely used organization members to lose energy and to feel drained and
organizational development intervention. Since 1995, arti- tired. (Similarly, appreciative inquiry starts with positive,
cles about appreciative inquiry have dominated practitioner rather than negative, features of an organization.)
journals such as the OD Practitioner and Organization De- Lippitt saw problem solving as past oriented. He believed .

velopment Journal (e.g., Sorenson, Yaeger, & Nicoll, 2000). that focusing on the future, rather than the past, would be I

Appreciative inquiry builds from several important assump- more motivating. Thus, he began to engage organization I
tions. First, social systems are socially constructed; people members in thinking about their preferred futures (Lippitt,
create their own realities through dialogue and enactment. 1980).Attention to a future organization member's desire is a
Second, every social system has some positive working ele~ first major emphasis of many large-group interventions. A
ments, and people draw energy for change by focusing on second emphasis is on gathering "the whole system," or, if
positive aspects of the system.Third, by focusing on building the whole system is not possible, representatives of a large
consensus around these positive elements and avoiding cross section of the system (at least 10% of it), to contribute
discussion of the negative aspects of the system, a group will to future planning. One reason for the prominence of large-
create momentum and energy toward increasing the positives group interventions is recent emphasis on organizational
there. transformation. Many (though not all) large-group interven-
Recent writings on appreciativeinquiry highlight the social tions are designed to help accomplish transformation, based
constructionist focus on dialogue as a way to enact a reality. on the expectation that in order to transform a system, suffi-
Most articles and books on appreciative inquiry use case stud- cient numbers of organization members with power to affect
ies and frameworks for appreciativediscussions to help practi- transformational processes must participate in change efforts.
tioners lead appreciative inquiry interventions (Barrett, 1995; Filipczak (1995) noted that the typical aims oflarge-group in-
Bushe & Coetzer, 1995; Cooperrider, 1997;Rainey, 1996; Sri- terventions include such foci as changing business strategies,
vastva & Cooperrider, 1999).Driving these case studies is the developing a mission or vision about where the company is
The Conceptual Knowledge of Organizational Development 317

headed in the next century, fostering a more participative Search Conferences. Search conferences represent one
environment, and initiating such activities as self-directed of the oldest forms of large-group interventions. They were
work teams or reengineering the organization. originally developed in England by Emery and Trist (1973) in
A wide variety of large-group interventions have been de- the 1960s, and have been further developed by Emery and
veloped in recent years (e.g., Bunker & Alban, 1997; Holman Purser (1996). They have been used in a number of different
& Devane, 1999;Weber & Manning, 1998).A list of many of countries (e.g., Babiiroglu, Topkaya, & Ates, 1996; Emery,
these, along with very brief summary descriptions of each, is 1996).
presented in Table 13.1. To give a more concrete sense of the Search conferences basically take place in twO"to three-
different types of large-group interventions, we briefly intro- day offsite meetings in which 20 to 40 organizational
duce two of the interventions currently in practice: the search members participate. Participants are chosen based on their
conference and workout. knowledge of the system, their diversity of perspectives, and
their potential for active participation.
Search conferences involve several phases, each of which
TABLE 13.1 Summary Listing of Large-Group Interventions includes multiple components. First the participants pool
Intervention Summary Description. their perceptions of significant changes in their environment
Future Search A 3-day conference aimed at helping representa- that affect their organization. Next they focus attention onthe
tives of whole systems envision a preferred past, present, and future of their organization, ending with the
future and plan strategies and action plans for
generation of a shared vision based on participants' ideals for
accomplishing it.
Real-time strategic
a more desirable future. The intent is to develop long-term
Conference aimed at enabling up to 3,000
change organizational members consult on major issues strategies that enhance the system's capacity to respond to
facing their organization. changing environmental demands. In the final phase they
Open Space A loosely structured meeting that enaj:>les groups work on next steps, action plans, and strategies for dealing
Technology of organization members ranging in size from with the environment.
a small group to 1,000 individuals develop their
own agendas in relationship to prespecified The conference structure is explicitly democratic, and par-
organizational concerns. ticipants are fully responsible for the control and <.:oordinatibn
Search Conferences Participative events that enable a diverse group of their own work. All data collected are public. The expecta-
of organization members to identify their desired tion is that as diverse participants begin to seemutually shared
future and develop strategic plans to implement
to accomplish this future.
trends in their environment, they will recognize a common set
Participative design Workshops based on the search conference
of challenges facing the organization and its members and
workshops model in which groupS of employees participate will also recognize that these common challenges will require
democratically in designing, managing, and cooperation.
controlling their own work.
Sirnu-real Workshops in which organizational members
Workont. Workout is a process developed at General
work on real problems in simulated settings that
enable them to learn how their organization Electric that was aimed at helping employees address and
approaches tasks and to determine what they ~olveproblems without having to go through several hierar-
would like to change. chicallevels. It has been successful enough at GE that its use
Workout Meetings in which groups of employees brain-
has been expanded to many other organizations.
storm ways to solve an organizational problem.
Managers typically must accept or reject Workout sessions involve several steps (Bunker & Alban,
solutions in a public forum at the conclusion of 1996). First, a manager introduces the problem on which a
the meeting. group with expertise pertinent to the problem will work. Then
Conference model A series of conferences through which organiza- the manager leaves, and the employees work together for ap-
tion members study the correspondence between
their own work and their desired future and proximately two days on the problem. The manager returns,
develop new designs for work. and the employeesreport proposals regarding how to solve the
ICA strategic A method designed to maximize the participation problems. On the spot, the manager must accept the proposals,
planning process t of community members in change processes that decline them, or ask for more information. If the manager re-
affect them by means of focused conversation,
workshops, and event planning.
questsmore information, the processthat will follow in orderto
reach a decision must be specified.
Note. Descriptions of the interventions are taken from Bunker and Alban
(1996) and Weber and Manning (1998). No blaming or complaining is allowed. Employees
tICA stands for The Institute of Cultural Affairs. who do not like something are responsible for developing a
318 Theories and Practices of Organizational Development

recommended action plan and then volunteering to imple- increasethe ability to recognize one's mental models. They de-
mentit. scribed dialogue as a way in which group members can think
together to foster team learning, and they described ways in
Learning Organizations which people might draw forth their own personal visions as a
way of developing personal mastery.
The idea that organizations and their members learn has been The learning organization envisioned and promoted by
present for decades. However, most scholarly attention to Senge and his colleagues is only one of the many versions
learning focused on learning as an adaptive change in behav- of learning organization currently available, although most
ioral response to a stimulus, particularly the learning of other authors owe at least some of their approach to Senge's
routines (e.g., Levitt & March, 1988). Learning was not nec- work (e.g., Garvin, 1993;Lipshitz, Popper,& Oz, 1996;Nevis,
essarily viewed as.desirable for the organization. DiBella, & Gould, 1995; Watkins & Marsick, 1994). For ex-
In the 1970s, however, Argyris and SchOn (1978) intro- ample, Nevis et al. (1995) defined a learning organization as
duced learning in a positive way, as a means of improving or-' one that is effective at acquiring, sharing, and utilizing knowl-
ganizations. Argyris and SchOn and others (e.g., Feldman, edge. Garvin (1993) viewed systematic problem solving and
2000) argued that learning rnust include both behavioral and ongoingexperimentation as the core of a learningorganization.
cdgnitive elements and involve the capacity to challenge rou- We mentioned several intervention tools aimed at facilitat-
tines, not simply enact them. This formulation was the basis ing the development of learning organizations. An additional
for the learning organization; whic~ in recent years has been tool, learning histories, is particularly important.Learning his-
one of the most popular business concepts. CQmmunitiesof tories are extended descriptions of major organizational
researchers and practitioners who study and practice learning changes that are designed to help organizations reflect on and
organizations have emerged and grown rapidly (Easterby- learn from their previous experiences (Bradbury & Clair, 1999;
Smith, 1997; Tsang, 1997). Kleiner & Roth, 1997,2000; Roth & Kleiner, 2000). They in-
More than any other written works, Peter Senge's (1990) clude an extensive narrative of processes that occur during a
best-sellingbook, TheFifth Discipline, andthe workbooks that large-scale change eve~t in an organization. The narrative is
havefollowed, TheFifth DisciplineFieldbook (Senge, Kleiner, composed of the people who took part in or were affected by
Roberts, Ross, & Smith, 1994) and The Dance of Change,. the change. They also include an analysis and commentary by
(Senge et al., 1999), have been responsible for bringing the "learning historians," a small group of analysts that includes
learning organization into the mainstreamof business thinking trained outsiders along with insider members of the organi-
(Seo et al., 2001). For Senge (1990), a learning organization is zation. Th~ analysts identify themes in the narrative, pose
"an organization that iSccontinually expanding its capacity to questions about its assumptions, and raise "undiscussable" is-
create its future" and for which "adaptive learning must be sues surfaced by it. Thus, learning histories are ways for orga-
joined by generative learning, learning that enhances our ca- nization members to reflect on events that happene~ and learn
pacity to create" (p.14). Senge described five different "disci- about underlying processes in their organizations from this
plines" as the cornerstone of learning organizations: (a) reflection.
systems thinking, learningtounderstand better the interdepen-
dencies and integrated patternsof our world; (b)personal mas- Empowerment
tery, developing c.ommitment to lifelong learning and
continually challenging and clarifying personal visions; (c) Although there has not been agreement on standard interven-
mental models, developing reflection and inquiry skills to be tion processes to develop employee empowerment, there is
aware,surface, and test the deeplyrooted assumptions and gen- little doubt that achieving empowerment is a major emphasis
eralizations that we hold about the world; (d) building shared of much organizational development and similar consulting.
vision, developing shared images of the future that we se.ekto It has been emphasized since Peter Block's (1987) influential
create and the principles and guiding practices by which toget book The Empowered Manager.
there; and (e) team learning, group interaction that maximizes There is considerable variation in how empowerment is un-
the insights of individuals through dialogue and skillful discus- derstood. For example, Ehin (1995) described empowerment
sion and through recognizing interactionpatterns in teams that as a frame of reference that incorporates deep, powerful, and
undermine learning. The workbooks describe ways to accom~ intimate values about others, such as trust, caring, love, dig-
plish these disciplines and challengesto sustain the momentum nity, and the need for growth. In the context of work teams,
of learning. For example, Senge et at (1994) described "left. Mohrman, Cohen, and Mohrman (1995) described empower-
hand column" and "ladder of inference" methods to help ment as the capability of making a difference in the attainment
The Conceptual Knowledge of Organizational Development 319

of individual, team, and organization goals, and they sug- these methods play prominent roles in the organizational de-
gested that it includes adequate resources and knowledge of velopmentinterventions describe dearlier.
the organization's direction. Thomas and Velthouse (1990),
followed by Spreitzer (1996), focused on empowerment in Participation
terms of cognitive variables (task assessments) that determine
motivation in individual workers. Participation in organizational change efforts and, in par-
ticular, participation in decision making, formed the earliest
Just as there are multiple definitions of empowerment,
emphases of organizational development (French & Bell,
there are multiple mechanisms in organizations that may be
1999). Such participation is still viewed as important, but the
used to help foster it. These may include structw:al factors
ways in which such participation is understood and takes
(Spreitzer, 1996) and attempts to redesign particular jobs so
place have expanded, and there is greater awareness that em-
that they include more of the individual task components that
ployees do not always wish to participate in change efforts
make up empowerment (Thomas & Velthouse, 1990). Most
(Neumann, 1989).
frequently, the means by which empowerment is discussed
Earlier rationales for participation often centered on the
as being fostered in organizations is through participation
expectation that employees were more likely to accept deci-
in organizational decision making (e.g., Hardy & Leiba-
sions in which they had participated. Now, however, the
Sullivan, 1998) and enhancement of the organizational mech-
rationale for participation is somewhat different, as expecta-
anisms (e.g., knowledge, resources, or teams) that help
tions of the role of employees in participation expand. In
employees participate in decision making (Bowen & Lawler,
particular, there is now much more explicit emphasis on em-
1992).
ployees participating in inquiry about their organizations and
The types of interventions we have described-
contributing necessary knowledge that will foster the organi-
appreciative inquiry, the various large-group interventions,
zation's planning and problem solving. This is illustrated in
and learning organizations-all include empowerment of em-
the roles of employees in the various large-scale interven-
ployees as central components. In all of these interVentionsit
tions, as various participants are expected to reflect on and
is groups of employees as well as managers who contribute to
both organizational assessment (e.g., through appreciative in- contribute knowledge about the organiz~ti~n's past as well as
its future (e.g., in search conferences). It is also illustrated in
quiry and through various learning exercises, including the
the expectation that employees contribute to learning
construction of learning histories) and organizational change
processes in tlleir organizations, for example, through the
(e.g., through planning solutions such as in workout sessions,
various exercises designed to foster their own capacity and
and in reflecting future planning for the organization). Em-
in their contribution to learning histories. Creative new
powerment is both a means by which these interventions take
means of participation such as GE's workout sessions give
place and an expected outcome of them.
employees much more responsibility for solving problems
and acknowledge much more employee knowledge than was
Implementation Theories
often the case i? the past.
Implementation theories address how actions generate change
,Self-Reflection
and what actions can be taken to initiate and guide change. Por-
ras and Robertson distinguished types ofimplementation based The growing interest in large-scale transformation in or-
on whether they focused on intervention strategy,procedure, or ganizations has been accompanied by a similar interest in
technique. Similar to the approach taken by Van de Ven and leadership of organizational transformation and thus in the
Poole (1995), we focus on four "motors" of change-four pri- development of leaders who can blend experience and reflec-
mary implementation approaches that are expected to accom- tion in order to create lasting organizational change. Torbert
plish the desired change. These motors come primarily from (1999) and Quinn et al. (2000) suggested that a primary
literature written for practitioners rather than literature written means by which leaders accomplish this is through self-
for academics. They are participation, self-reflection,actionre- reflection and self-inquiry.
search, and narrative. Participation and action research have Torbert (1999) suggested that leaders need to develop the
been cornerstones of organizational development practice for ability to reflect while acting so that they can respond to
decades (French & Bell, 1999). However, what they mean in changing conditions and develop new understandings in the
practice has evolved. Self-reflection and narrative, while im- moment. Individual transformation involves an awareness
plicit in some earlier organizational development work, have that transcends one's own interests, preferences, and theories,
become much more prominent recently.It is not surprising that enabling more holistic understanding of patterns of action
320 Theories and Practices of Organizational Development

and thought. Transformational leaders determine the appro- antithesis into conflict. Argyris and SchOn's (1974) Model II
priate method of transformation by cultivating a strong un- learning and Argyris, Putnam, and Smith's (1985) action sci-
derstanding of the context, including tradition, vision, and ence model provide a common base for dialectic action sci-
organization and individual capabilities. The exercise of ence methods. Change is triggered by calling attention to
transforming leadership affects the organization's capacity discrepancies between action and espoused values. Highlight-
for transformation. In a longitudinal study of CEOs, Rooke ing differences between "theories in use" and "espoused
and Torbert (1998) found that five CEO's that scored as trans- theories" generates the impetus for change. Argyris focused
forming leaders based on Torbert's developmental scale on processes that enable double-loop learning and awareness
supported 15 progressive organizational transformations, of underlying values guiding action. Individuals work to ex-
whereas five CEO's that did not score as transforming leaders pose the mental models driving their action and to identify the
supported no organizational transformations. values and actions through which they influence their context.
Advanced change theory (Quinn et al., 2000) proposed Several other writers. have expanded this approach to
that by modeling a process of personal transformation, change by highlighting the importance of understanding how
change agents enable deeper organizational change. This' action is embedded in a broader system of values and mean-
process demands that change agents be empowered to take ing. For example, Nielsen (1996) called for "tradition-
responsibility for their own understanding (Spreitzer & sensitive" change dialectic strategies in which the change
Quinn, 1996) and develop a high level of cognitive complex- agent directly links the change with biases in the shared
ity (Denison, Hooijberg, & Quinn, 1995). This generally re- tradition system.
quires a change in values, beliefs, or behaviors, which is
generated by an examination of internal contradictions. The Action Learning. Action learning, like action science,
leader creates opportunities for reflection and value change has a goal of changing behavior by comparing behaviors and
through intervention and inquiry. The leader is constantly theories. In an action science intervention, the individual
shifting perspectives and opening up values and assumptions compares theories in use with espoused theories. In an action
for questioning. The more skilled organization leaders are at learning intervention, the dialectic is between theoretical
generating deep personal cognitive change, the more likely it knowledge and personal experience. Revans (1980) outlined
is that the leaders will support or create deep organizational a process i~'which action learning groups work to understand
change. social theories and ideas by applying them to a real situation.
Participants use the theory to understand the logical implica-
Action Research tions of their experience and use the experience to internalize,
refine, and make sense of the theory. Because of its group em-
Action research consists of a set of theories of changing that phasis, action learning focuses on interpersonal interactions
work to solve real problems while also contributing to theory. and their effects on project outcomes (Raelin, 1997).
While the original models of action research emphasized the
solution of problems, models of action research developed in Cooperative Inquiry. Cooperative inquiry was devel- .
later years include a wider array of emphases. In particular, oped primarily by Reason and his colleagues , (e.g., Reason, II
many contemporary action research models propose that 1999). Cooperative inquiry is an inquiry strategy in which,
change can be triggered through a process of direct compari- those involved in the research are both coresearchers and co-
son between action and theory. subjects. It includes several steps. First, a group of people
chooses an issue to explore and develop one or more means
Participatory Action Research. Participatory action by which they will explore it. Then they carry out the agreed-
research was developed largely by Whyte (1991) and his col- upon action and report on its outcomes. Through this action
leagues. It refers to a process of systematicinquiry in which and reflection they become more fully immersed in their ex-
those experiencing a problem in their community or work- perience and are led to ask new questions. Finally, they recon-
place participate with researchers in deciding the focus of sider their original questions in light of their experience.
knowledge generation, in collecting and analyzed data, and
in taking action to manage, improve, or solve their problem. Action Inquiry. Action inquiry (or developmental ac-
tion inquiry) has been developed primarily by Torbert and his
Action Science. Dialectic change theories envision collaborators (e.g.,Torbert, 1999).Briefly,it is concerned with
change as the outcome of conflict between a thesis and an- developing researchers' capacities in real time to increase their
tithesis. Action science foc,!seson how to bring the thesis and attention by turning to its origin, to create communities of
The Connection Between Implementation Theories and Change Process Theories 321

inquiry, and to act in an objectively timely manner. This is a awareness;performance conversationsprompt action; and clo-
manner in which they become increasingly able to get multiple sure conversations acknowledge an ending.
types of feedback from their actions that can increase their Several current organizational development practices rely
ability to act and to achieve personal congruity. on a narrative theory of changing. Appreciative inquiry draws
on narrative organizational development theories by chal-
lenging organization members to generate local theories
Narrative-Rhetorical Intervention of action. Barry (1997) identifies strategies from narrative
therapy that can enable organizational change. These in-
Narrative interventions highlight the role that rhetoric and
clude influence mapping, problem extemalization, identify-
writing can play in generating organizational change. This
ing unique outcomes, and story audiencing. Using the case of
approach to change finds its theoretical roots in sense making
a high-technology research organization, O'Connor (2000)
(Weick, 1995) and interpretive approaches to organizations
illustrated how stories told during a strategic change link the
(Boje, 1991). Organizational actors partially create their real-
change with the past to highlight anticipated future problems
ity through the retrospective stories that they tell about their
'and accentuate how the past and present differ.
experience and through future-oriented stories that they cre-
ate as a pathway for action. Convergence of narratives by or-
ganization members drives collective sense making (Boyce, THE CONNECTION BETWEEN IMPLEMENTATION
1995). THEORIES AND CHANGE PROCESS THEORIES
Organizational change can be generated through sharing of
stories and building consensus aroundnew images of the future It is possible to construct arough map of the links between par-
(e.g., J. D. Ford, 1999b) in which the stories shift. The stories ticular implementation motors, interventions, and change
thus offer a goal toward which organization actors can work, processes, especially as implementation motors.would likely
and the role of the change agent is to assist organization mem- occur in the interventions described earlier. Such a rough map
bers in reconceiving their understandings(Frost & Egri, 1994) is depicted in Table 13.2. It indicates that implementation
by creating new stories. J. D. Ford and Ford (1995) identified strategies have been developed primarily for the teleological
fourtypes of conversations that drive change: initiative, under- motor, as this is expressed in its multiple forms. However, at
standing, performance, and closure. Initiative conversations least one organi~ational development intervention potentially
start a change process; understanding conversations generate applies to each of the other change process motors.

TABLE 13.2 Possible Relationships Between Change Process Models and Implementation Models as Expressed in Contempo(3l"y
Intervention Approaches

Implementation Models

Participation Reflection Action Research Narrative

Often used in appreciative Often used in appreciative Often used in learning Often used in
inquiry, large-group inquiry, large~group organizations, appreciative inquiry,
interventions, learning interventions, learning empowerment large-group intervention,
organizations, organizations learning organizations
empowerment

Change Process Motors


Teleological (e.g., strategy, x x x
cognitive framing, change
momentum, continuous
change)
Ufe cycle (e.g., punctuated x x
fquilibriumltransformation)
Dialectic (e.g., x x
chcma change,
communication change)
livolutionary (e.g., internal x
change routines, institutional
ttllI/Ige)

Possible ways of implementing each change process model by means of One or more of the implementation approaches are indicated by X.
322 Theories and Practices of Organizational Development

THE DIVIDE BETWEEN IMPLEMENTATION We sorted the journals into three groupings and sought to
THEORIES AND CHANGE PROCESS THEORIES understand whether there were any fundamental difference
among the groupings. The first, and perhaps most obvious,
The fact that some organizational development interventions difference is that journals that published implementation the-
are applicable to the different change process theories means ory articles had a larger percentage of authors with nonacad-
that they represent potential means for fostering these differ- emic affiliations (Table 13.1, column 3). While a majority of
enttypes of change. It does not mean that authors who describe the implementation theory articles were written by authors
the different types of change motors reference organizational with academic affiliations, virtually all of the change process
development work or that the implementation models refer- theory articles were written by authors with academic affilia-
ence the change process theories. In most cases there is no ex- tions. Second, a comparison of citations within the articles
plicit connection between them. To the contrary, we believe shows that while implementation theory articles referenced
that there is a fairly strong divide between those who focus on change process theory articles, authors of cl1angeprocess the-
change process models alfd those who focus on particular in- ' ~ry articles rarely cited implementation theory articles. The
terventions and their underlying implementation models. findings suggest a low level of interaction between these two
To test whether this appeared to be true, we took a closer approaches to change theorizing. In particular, academic
look at, where change process theories were being publij;hpd scholars are paying comparatively little attention to practices
and where i;mplementation models and descriptions, of inter- through which change is facilitated. The overlap of the two
ventions were published during the 1990s. We examined 209 knowledge networks is created by the journals that publish
articles published since 1990 whose central ideas involved bot]1types of work and by a few individual researchers who
change process theory and implementation theory (thisJistof publish in both theoretical areas. In general, there is relatively
!Wtic1esis~vailable from the primary author). We only jn~ little information passing from one knowledge network to the
c~Uded .articles that had obvi<;>usimplications for cbange other. Several knowledge transfer barriers limit the knowl-
process Or ~mpleJ;Ilentation theories. edge flows between these two networks. Attempts to create
Taq~e.{3;3 provides a SI,Inllnaryof our findings. It shows more integration betwe~n change process and implementa-
that fQr.th.effiQstpai!: ,there is a segregation between jourmus !jon models need to find ways around these barriers.
publisbing $~ories of change processes and journals publish-
ing implementation theories. Only .a few journals consis- Barrner 1: Different Knowledge Validation Metbods
tently published both types of change research work. Those
that appeared often in our investigation include Organization We found a wide array of knowledge validation strategies in
Science, Journal of Management Studies, and the Strategic,. the,change process theory and implementation theory litera-
Management Journal (although with a larger sample some tures. These are the methods used to convey the significance
others also fit into tbis category). and legitimacy of authors' theories and conclusions. They

TABLE 13.3 Change and Organizational I,>evIQpment Theory in the 19908


% % Authors with
No; of Implementation Academic
Journal Articles Theory Affiliation
Academy of Management Journal 8 0 100
Administrative Science Quarterly 10 0 100
Academy of Management Review 16 13 93
OrganizationStudies 13 23 82
Strategic Management Journal 16 44 100
OrganizationScience 12 50 100
Journal of Management Studies 6 50 100
Journal of Organizational Change Management 18 72 89
OrganizationDevelopment Journal 21 81 56
Journal of Applied Behavioral Science 14 86 57
OD Practitioner 34 88 29
Leadership and Organization Development 18 94 77
Other journal articles 15 47
Books and book chapters 13 46
Total 209 50 82
The Divide Between Implementation Theories and Change Process Theories 323

include appeals to previous research, clear and logical re- others. The goal is to communicate a sense of the immediate
search designs, appeals to the authors' expertise, and use of context. Specialists use experience-far concepts to map their
detailed cases; An author's choice of knowledge validation observations and categorize them as part of a larger abstract
strategy is determined by the targeted audience of the article body of knowledge. Academics often dismiss experience-
and the author's own understanding of what determines near approaches as not rigorous enough; practitioners often
knowledge validity. dismiss experience-far approaches as not applicable to many
Examination of the articles reveals strong norms of homo- contexts.
geneity within journals and within articles. Authors tend to
cite other articles that employ similar knowledge validation Barrier 2: Different Goals and Audiences
methods, and journals tend to favor a certain knowledge val-
idation method. This homogeneity enables clear progression The journals included in our review have differing goals and
of research because it makes it easy for the reader to under- audiences. The grouping of journals according to their ten-
stand how the curr~nt article builds from previous similar dency to publish change process or implementation theory
work. However, it can also hinder knowledge transfer be~ mticles is consistent with the journal audience. Thus, journals
tween knowledge networks. References to previous work are geared toward managers or organizational development
typically limited to work in journals that employ similar practitioners offer more guidance on how to affect change.
strategies for legitimating knowledge. For example, the mission of the OD Practitioner is to present
Method variety within a journal provides one potential information about state-of-the-art approaches to organiza-
pathway around this knowledge transfer barrier. For exam- tional development diagnosis and intervention. The articles
ple, a few journals, such as Organization Science, publish in the OD Practitioner include well-developed implementa-
research using a wide range of methods. However, this diver- tion theories that are supported by case studies, appeals to
sity at the level of the journal is not mirrored at tJ1earticle practice, and connections with previous articles and books
level. Authors still tend to reference other research using regarding similar issues. .

similar methodologies. As one example, the OD Practitioner sponsored.a recent


Epistemological understanding about knowledge may act special issue on appreciative inquiry, which is becoming a
as a larger barrier to knowledge transfer than methodological widely adopted organizational development intervention
homogeneity. Many change process articles use a hypothesis- technique (Sorensonet al., 2000). Yet we found compara-
testing format to identify generalizable'knowledge about tively little acknowledgement of appreciative inquiry in more
organizational change. Writers of these articles attempt to academically oriented research and writings on organiza~
persuade the reader of the legitimacy of their theory and con- tional change and development. The academic silence and
clusions by highlighting links with previous research findings practitioner enthusiasm about appreciative inquiry illustrates
and carefully describing the methodology and analysis of the the significance of the practitioner/academic theoretical di-
study. vide. As Golembiewski (1998) noted, appreciative inquiry
Implementation articles, on the other hand, often do not challenges several assumptions of previous research on resis-
attempt to generalize their findings. These authors provide twlce to change (Head, 2000). Academic theorizing about
detailed descriptions of the context of the study that readers change would benefit from more attention to the questions
can use to link the article and theory to their own situation. raised by appreciative inquiry practitioners. But as long as
The contextual approach of implementation fits an expertise- theoretical discussions of appreciative inquiry remain limited
based epistemology. That is, expertise is developed through to practitioner-oriented journals, the theoretical implications
experience in similar situations; practitioners can gain exper- risk being ignored by those developing and testing change
tise by reading detailed cases and attempting to connect those process theories.
cases with Jheir personal experience. The detailed descrip- The journals with a mix of change process and implemen-
tions in case-based articles enable readers to determine tation theories may provide some insight into the barriers be-
whether and how the theory is applicable to their situations tween academic-practitioner knowledge transfer. We suggest
IU1dhow it contributes to their expertise. some characteristics of these journals that may offer guidance
Epistemological differences between change process and on this issue. The Strategic Management Journal included
Implementation articles are similar to Geertz's (1983) dis- several change-related articles that have a strong teleological
tinction between "experience-near" and "experience-far" element (Barr et al., 1992; Fombrun & Ginsberg, 1990; Gioia
concepts. People use experience-near concepts to explain & Chittipeddi, 1991; Greve, 1998; Simons, 1994). As would
what they experience and to describe the experience to be expected in a strategy journal, the primary focus is on
324 Theories and Practices of Organizational Development

managerial action. Discussions of research results lead natu- tional structure. This recent focus of action research on tradi-
rally into implications for practicing managers or change tion systems considers how change agents are constrained by
agents. Although the research designs in Strategic Manage- pressure to connect their change strategy with widely held so-
ment Journal are similar to those reported in Academy of cial values. Building from sociological theories of organiza-
Management Journal and Administrative Science Quarterly, tional fields, institutional researchers have outlined a process
the teleological, planned-change focus is similar to that of of isomorphism and legitimation that offers insight into what
the practitioner journals such as the OD Practitioner and the strategies will fit within a given field (DiMaggio & Powell,
Harvard Business Review. This mix may provide a template 1991; Greenwood & Hinings, 1996).
for communicating practitioner experience to academic re- Further indication of the importance of theoretical com-
searchers. Organization Science also publishes both change monalities for information transfer is shown through linkages
process and implementation articles. Several Organization between communicative change theories and narrative orga-
Science articles provide implementation theories grounded in nizational development theories. Articles in these two areas
change process research (e.g., Bate, Khan, & Pye, 2000; - of inquiry have more cross-referencing than any other set of
Denison et al., 1995: Kimberly & Bouchikhi, 1995; Kuwada, , change process theories and implementation theories. These
1998). The result is an emergent understanding of the process fields draw from the same theoretical roots: social construc-
underlying change and how it can be influenced. These jour- tionism and social cognition. Recent articles (J. D. Ford,
nals have an academic audience but may provide a channel 1999b; O'Connor, 2000) acknowledge and build on previous
for practitioner-developed theory because of their close affi- work in both fields. Their common roots may enable easy
liation with managerial concerns and their willingness to transfer of research by providing a common language and
publish innovative process-driven work. understanding of acceptable method of inquiry. Schematic
change theory and action research theories also have substan-
Barrier 3: Different Theoretical Antecedents tial overlap. However cross-referencing is more pronounced
in schematic change theory than in action research. Both
Some change process theories have recently paid more atten- change theories, communicative and schematic, use the di-
tion to implementation. This convergence is occurring as alectic motor. The close linkages with change process models
change process theorists build teleological motors into their suggest that the dialectic motor, like the teleological motor,
existing models, since the teleological motor offers a natural may provide a fruitful framework for future integration of
common ground for integrating change process and imple- change process theories and implementation theories.
mentation models. However, the similarity of converging ap-
proaches can be overlooked if the writers are unaware of each
other's work. This is particularly the case when there are STRATEGIES FOR OVERCOMING BARRIERS
differing theoretical antecedents behind the change process TO KNOWLEDGE TRANSFER
theories.
One illustration ofthis barrier is found in recent work on in- A sense-making approach to knowledge transfer (Weick,
stitutional agency and dialectic action research. Foster (2000) 1979,1995) assumes that individuals actively select informa-
showed how both streams of research have addressed the issue tion from their environment and make determinations about
of how actors can initiate and guide change in existing institu- its relevance and meaning. Individuals compare the new
tional structures. Institutional theorists have used this line of information with their current cognitions and attempt to inte-
inquiry to expand understanding of institutional change theo- grate it into their personal schemas or reject it as irrelevant.
ries (Barley & Tolbert, 1997), whereas action research theo- The barriers to knowledge transfer identified earlier cause
rists have focused on improving change agent effectiveness in individuals to reject the new information as irrelevant. Indi-
changing broad tradition systems (Nielsen, 1996). viduals do not see how the information fits within their
Despite the similarity of interest, neither stream of research schemas because the information does not fit their perception
is drawing on the insights of the other stream. Institutional of valid knowledge validation methods or because it builds
theorists struggle to identify skills and strategies that enable from an unknown theoretical tradition. For the information to
change to the institutional structure (Fligstein, 1997). Build- be accepted and used, it must be linked in some way with the
ing from individual cognitive theories, action research writers receiving individual's conception of relevant knowledge.
have identified successful strategies for institutional change The notion of idea translation (Czarniawska & Joerges,
(Argyris et al., 1985). Recent actionresearch work has explic- 1996) provides some insights on how the sense-making
itly tied actor strategies with changes in the tradition system process between change pr.ocesstheories and implementation
(Austin, 1997; Nielsen, 1996), which is similar to the institu- theories is being limited. Czarniawska and Joerges proposed
Strategies for Overcoming Barriers to Knowledge Transfer 325

that ideas do not simply move unchanged from one local set- continuously change. They used a multiple-case inductive
ting to another, but are transformed when moved into a new research method to develop a theory of continuous organi-
setting. They further proposes that ideas are ambiguous: They zational change that identifies the significance of limited
are given meaning through their connection with other logics, structure and extensive communication, experimental
through action taken on them, and through the ways in which "probes" to attempt to understand the future, and transition
they are translated for new settings. Translation includes inter- processes that link the present with the future. These organiza-
pretation and materialization. Interpretation occurs when the tional practices combine to enable change through flexible
idea is connected with other already-understood words and sense-making processes. In their laterjournal article and book,
values. Understanding of the idea depends on what words; and Eisenhardt and Brown shifted their focus to managerial action.
values the idea is connected with in this stage. The same idea They built from their theory of change and recommended spe-
will be interpreted differently by different individuals. The cific strategies for managing change in markets that are con-
communicator can guide this stage in translation by offering tinually shifting. These recommendations include strategies
suggested words and. values to use to understand the new idea. for establishing performance metrics, generating transitions,
Materialization occurs when individuals act on the new idea. It and understanding and establishing rhythms. Taken together,
becomes embedded in a complex of ideas motivating the ac- the strategies provide an implementation theory based on or-
tion, and this leads to further transformation of the idea as ganizational temporal rhythms and heedful engagement with
feedback may lead to its modification or rejection. The com- the constantly shifting market. The authors illustrated their
municator has less control over this part of the process. points with stories demonstrating how managers at well-
Change and organizational development theorists translate known technology companies have enabled their companies
ideas through interpretation when they connect their work to prosper in chaotic environments.
with widely known words, stories, and values. As an example, This translation process subtly changed the idea of time
a change process theory may be translated into an i~plemen- pacing. The'focus moved from the organization level to the
tation theory when the writer presents the planned, purposeful strategic, managerial level. The shift to managerial action
action of managers engaged in the change process. An imple- provides a more explicit teleological focus to the theory. The
mentation theory may inform a change process theory when translation also involves a different writing style that relies
the writer describes how a particular approach, such as action less on reporting the methodology and more on story telling.
research, affected the outcome of the change process (e.g., a This changes the' goal behind the writing from generalizabil-
particular transformation attempt). Change process and im- ity to contextualizing. The methodology in the 1997 article
plementation theorists translate ideas through materialization indicates limitations of the theory, whereas the stories in sub-
when they report on results of theoretically motivated change sequent articles invite readers to find the commonality be-
attempts. Through their description of the action, the theory is tween the story and their own contexts. One aspect that made
"made real" and is subsequently transformed. this translation easier to accomplish was that the academic
There are some excellent templates for how translation be- methodology employed was iterative case analysis. Stories
tween change process theory and implementation theory were already present in the initial data collection process, so
would look in practice. We describe some of them below. t!te raw data for the translation were ready to be used.

Same-Author Translation Multi~le-Author Translation


Writers may translate their own research for a new audience. . Multiple-author translation is more common than is same-
Because the translation process changes the content of the author translation. This process is used regularly in the Acad-
idea, it may include subtle shifts. Eisenhardt and Brown's emy of Management Executive, where, for example, there is a
work on change pacing is one illustration of this type of trans- section devoted to research translations. In multiple-author
lation. S. L Brown and Eisenhardt developed a theory of translation, a researcher builds from other researchers' work
change (1997) published in an academic journal. In sub- and translates it for a new audience. An illustration of this ap-
sequent publications, a Harvard Business Review article proach is Jansen's (2000) research on change momentum.
(Eisenhardt & Brown, 1998a) and a book (Eisenhardt & Jansen developed and tested a momentum change theory
Brown, 1998b), they translated their change theory for a man- based on the concepts of energy flows and movement momen-
agerial audience. In the process of translation, their theory was tum. She observed that most academic theories of change that
transformed int()an implementation theory. In their 1997 arti- referred to momentum were actually confusing momentum
cle S. L. Brown and Eisenhardt focused attention at the orga- with inertia. Several implementation theorists have identified
nization level of analysis to learn how organizations the importance of generating energy in order to move a change
326 Theories and Practices of Organizational Development

forward (lick, 1995; Katzenbach, 1996; Kotter, 1995; Senge models to implementation models. However, some methods
et al., 1999). Jansen translated the momentum idea into a are being developed that may begin to address this gap.
change process theory and showed how it complements other The major method is one in which an individual member
evolutionary and teleological change theories. By referring to of an organization who is working to change it also studies
the implementation theory articles, Jansen invited other re- the change or works in combination with an external re-
searchers to draw from them. searcher to study the change and to communicate about it to
Multiple-author translation is less direct than same-author a scholarly audience. The first way this might happen in-
translation. It remains unclear how influential the initial idea volves insiders conducting their own action research projects
is to the translation process. The translator claims credit for (Coghlan, 2001; Coghlan & Brannick, 2001). When insiders
the idea because it is new to the targeted audience, and uses then write about these projects for an external audience, they
appeals to previous writings on the idea to legitimate it. are translating their work for people who a,e likely to under-
Appeals to practitioner articles show that the idea has man- . stand them from a slightly different per.spective. A second
agerial relevance, and appeals to academic research sho-..y way is through organizational members writing together with
that the idea has empirical validity. Translation is enabled if external researchers to describe and analyze a change process
both'appeals are inc1udedwithinthe same article. Linking the for a scholarly audience (Bartunek, Foster-Fishman, & Keys.
practitioner with the. academic research implies a link and 1996;Bartunek et al., 1999). This type of approach is referred
thus a translation process between the two. to as insider-outsider team research (Bartunek ,& Louis,
1996). It is a kind of multiple~author approach, but one in
which practitioners and academics are working jointly, rather
Common Language Translation.
than sequentially and independently, to make the work acces-
Another method of idea translationis to present implementa- sible to multiple audiences.
tion and change process theories side by side within the same
article and show their commonalities (and, sometimes, differ~
ences). This is a common strategy for review articles, CONCLUSION
especially articles dealing with organizational learning and
learning organizations (e.g., Easterby-Smith, 1997; Miller, Researcq in organizational change and development has
1996; Tsang, 1997). The advantage of this strategy is that it been increasing. Calls for more attention to theorizing about
explicitly calls attention to a stream of research of which the change processes have certainly been heeded. In addition,
reader may be unaware and legitimates it by showing its links the variety of intervention types and underlying implementa-
with research that has already been validated by the audience. tion models is considerably greater today than it was only a
This strategy invites the audience to continue the translation decadeago. .

process by including the newly translated research in their But to a large extent theorizing and practice, change process
own work. models and implementation models, have been developing
The common strategy for language translation is the most separately. There are significant gaps between the two theoret-
direct strategy. It requires the author explicitly to link the ical knowledge networks, even as there :p:epotential overlaps
ideas and explain that link using a rhetorical style suited to in the work in which they are engaged. Whether or not the two
the audience. Whereas the single"author translation strategy groups are aware of it, the limited information flow between
requires the author to have a working understanding of practitioners working from and further developing implemen-
how to communicate a single idea to multiple audiences, the tation theories and academics refining change process models.
common~language translation strategy requires the author to limits the development of both types of theorizing. The barrio I
have an understanding of how to communicate diverse ideas ers to knowledge transfer that we have identified..-different I

to a single audience. This chapter is an example of common knowledge validation standards, goals and audience, and theo-!
.

language translation. retical antecedents-lead us to believe that successful Connec-


tions between change process models and implementation I.

models require a translation process. On some occasions such I


Translating Implementation Theory
translation processes have been demonstrated, and those
to Change Process Theory
demonstrations provide a model for what mightbe done. .
There are not as many examples of the explicit translation It is customary in chapters of this type to coIllinent on the !
of practice work (implementation) to inform change process state of theorizing in a given field. There are some areas that
models as there are of translations from change process could clearly use further conceptual development in: terms

-~~
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