Employee Transition throughout an Appreciative Inquiry Intervention by Philip John Maxton ...

360 Pages·2016·7.04 MB·English

by  Philip Maxton

EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION

Employee Transition throughout an Appreciative Inquiry Intervention

by

Philip John Maxton

Submitted in partial fulfilment of the requirements for the degree
of Doctor of Business Administration
at the Gordon Institute of Business Science,
University of Pretoria

Supervisor: Emeritus Professor John M. Verster

(October, 2016)
EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION ii

Abstract
As the practice of organisational development (OD) bifurcates into the traditional form
of diagnostic OD and the emerging form of dialogic OD (Bushe & Marshak, 2009) it is
especially important to obtain a better theoretical understanding of dialogic OD. This
need is particularly true of Appreciative Inquiry (AI) as the most prominent form of
dialogic OD. The purpose of the research was to build on current theory underlying AI.
The specific research question addressed was: In the course of an AI intervention aimed
at transformational organisational change, how do transitioning individual employees feel
and make sense for themselves? The research adopted a multiple-case study design with
a predominantly qualitative methodology. A form of theory-driven evaluation known as
realist evaluation (Pawson & Tilley, 1997)—comprising of context-mechanism-outcome
pattern configurations—was applied. The purposively selected sample consisted of six
employees who had not transitioned well following an earlier diagnostic OD intervention
with a comparable change objective. Data were collected longitudinally using a
combination of diary prompts, direct observation, and interviews. The main findings
indicate that: (a) three conceptually independent types of cognitive outcome patterns can
occur under AI; (b) during-AI contexts of positivity-orientated activities and a safe
environment each predispose transition towards particular types of cognitive outcome
patterns; (c) certain pre-AI contexts, such as dogmatism at the level of the individual,
influence the degree of transition; and (d) certain reflective mechanisms link particular
contexts and affective outcome patterns. The findings of the study build on, and are partly
presented in the format of Bushe’s (2013b) facets of generativity model and an analytic
framework is presented which offers a “way of seeing” transition under an AI
intervention. By studying employee transition under AI in a well-specified research
design, using clearly defined and well operationalised constructs, the research contributes
theory which is substantially more comprehensive than previously available and from
which testable propositions can be developed. It thereby overcomes concerns of authors
such as Golembiewski (2000) and Bushe (2007) regarding the incompatibility of AI—
with its basis in social constructionism—and “rigorous” research.

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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION iii

Acknowledgements
I would like to sincerely thank Irene, Ben, Lisa, and Dean for their daily support and
understanding throughout my studies. It has been a pleasure and a privilege to have been
supervised by Professor John Verster. I thank him for his patience and I greatly admire
him for his expertise and wisdom. I thank Dr Kerrin Myers for her valuable input,
particularly regarding qualitative research and I thank Professor Helena Barnard for her
enthusiastic support and guidance. I acknowledge Professor Johann Mouton’s advice to
use a realist evaluation. I thank Professors Gervase Bushe, Jennifer Howard-Grenville,
Mary Jo Hatch, Phil Mirvis, Jean Bartunek, Ron Fry and David Cooperrider for their
formal and informal comments at various workshops, conferences, and blatant hijackings.
Dr Anastasia Bukashe expertly helped with the appreciative inquiries and Rod Charlton
substantially helped with data collection in the pilot study. Jennifer Charlton proved to
be an invaluable editor. I thank the Head of Retail Banking at “Seibank” for allowing the
research to take place in his organisation and I thank the shareholders and senior
managers at my employer for supporting and encouraging my endeavours.

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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION iv

TABLE OF CONTENTS

Abstract ............................................................................................................................. ii
Acknowledgements .......................................................................................................... iii
CHAPTER ONE: INTRODUCTION ........................................................................... 1
Background and Context .................................................................................................. 2
Trends in the Field of Organisational Development ................................................................. 2
The Tempo of Organisational Change ...................................................................................... 5
Levels of Analysis ..................................................................................................................... 6
Problem Statement ............................................................................................................ 8
Statement of Purpose ........................................................................................................ 8
Research Design ............................................................................................................... 8
Rationale and Significance ............................................................................................. 12
Definitions of Key Terminology ..................................................................................... 12
The Researcher ............................................................................................................... 13
Organisation of the Thesis .............................................................................................. 14
CHAPTER TWO: LITERATURE STUDY AND DEVELOPMENT OF A
DEDUCED PROGRAMME THEORY ...................................................................... 16
Transition Theory ........................................................................................................... 16
Learning and Schema Theory Concepts which Support Transition Theory ........................... 17
The Basis of Transition Theory in Lewin’s Theories of Change ............................................ 22
Transition Path Models ........................................................................................................... 26
Summary of Transition Theory ............................................................................................... 28
Appreciative Inquiry ....................................................................................................... 31
Appreciative Inquiry as a Form of Dialogic OD ..................................................................... 31
Appreciative Inquiry and Action Research ............................................................................. 33
The ‘Positivity versus Generativity’ Debate ........................................................................... 34
Transition under Appreciative Inquiry .................................................................................... 36
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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION v

Development of a Deduced Programme Theory of Employee Transition
throughout an Appreciative Inquiry Intervention ......................................................... 43
Contexts .................................................................................................................................. 43
Outcome Patterns .................................................................................................................... 44
Mechanisms ............................................................................................................................ 53
The Deduced Programme Theory ........................................................................................... 58
The Research Questions .................................................................................................. 61
CHAPTER THREE: RESEARCH DESIGN AND METHOD ................................ 63
The Research Design: Multiple-case Study Cast in a Realist Evaluation ...................... 63
Case Study Research ............................................................................................................... 63
Evaluation Research ................................................................................................................ 64
Methods of Selection ...................................................................................................... 68
The Host Organisation for the Main Study ............................................................................. 68
Number of Cases and Case-Selection Criteria ........................................................................ 71
Methods of Data Collection and the Data-collection Instruments .................................. 75
Data Collection by Means of Diaries ...................................................................................... 79
Data Collection by Means of Interviews ................................................................................. 80
Data Collection by Means of Direct Observation ................................................................... 81
Data-collection Instruments .................................................................................................... 83
Pilot study: Testing and Refinement of the Data-collection Instruments ............................... 89
Methods of Data Analysis ............................................................................................... 90
Deduced Coding Framework .................................................................................................. 90
Data-Coding Techniques and Processes ................................................................................. 91
The Overall Analytical Process ............................................................................................... 94
Ethical Considerations .................................................................................................... 97
CHAPTER FOUR: WITHIN-CASE ANALYSES .................................................... 98
Within-Case Analysis for Allison ................................................................................... 98
Data Description ..................................................................................................................... 98
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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION vi

Data Analysis ........................................................................................................................ 108
Within-case Analysis for Bernice ................................................................................. 113
Data Description ................................................................................................................... 113
Data Analysis ........................................................................................................................ 124
Within-case Analysis for Eddie .................................................................................... 130
Data Description ................................................................................................................... 130
Data Analysis ........................................................................................................................ 138
Within-case Analysis for Lala ...................................................................................... 143
Data Description ................................................................................................................... 143
Data Analysis ........................................................................................................................ 153
Within-case Analysis for Maria .................................................................................... 160
Data Description ................................................................................................................... 160
Data Analysis ........................................................................................................................ 168
Within-case Analysis for Susan .................................................................................... 175
Data Description ................................................................................................................... 175
Data Analysis ........................................................................................................................ 184
Summary of Within-case Analyses ............................................................................... 191
Transition in Terms of New Insight ...................................................................................... 191
Transition in Terms of the Way of Knowing ........................................................................ 193
Transition in Terms of Positive Reinterpretation .................................................................. 193
CHAPTER FIVE: CROSS-CASE ANALYSIS ....................................................... 197
Case Ordered Display by Degree of Transition ............................................................ 197
High Transition Cases ........................................................................................................... 198
Medium Transition Cases ..................................................................................................... 199
Low Transition Cases ............................................................................................................ 200
Transition by Management and Staff Sub-groups ........................................................ 202
Management Sub-group ........................................................................................................ 202
Staff Sub-group ..................................................................................................................... 203
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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION vii

Transition Themes ........................................................................................................ 203
The Bank as Caring ............................................................................................................... 203
The Bank as a Great Place to Work ...................................................................................... 205
The Need to Adopt a More Participative Style of Management ........................................... 206
Opinion of the Alignment ..................................................................................................... 207
Learning to Look at Bigger Picture of Organisational Change ............................................. 208
Learning about the Need for Participation in Organisational Change .................................. 209
Learning Regarding the Ability to Choose how to React to Change .................................... 210
Assertiveness Towards Those More Senior in the Management Hierarchy ......................... 212
Putting the Alignment in the Past .......................................................................................... 212
Positive Attitude towards Change ‘Out There’ ..................................................................... 213
Pre-AI Contexts ............................................................................................................ 215
During-AI Contexts ...................................................................................................... 216
The Fact that Top Management Initiated the AI Process and/or Showed Interest in the
Recommendations ................................................................................................................. 216
Became Aware of the Viewpoint of Others .......................................................................... 216
An Environment in which Participants at Multiple Levels Felt Free to Talk Openly ........... 217
The Fact that the Contents of the AI Process was Determined by the Participants .............. 217
‘Envisioning the Positive Future’ Activity ........................................................................... 218
Inclusion of Individual Responsibilities in Discussion of Organisational Change and the
Holistic Nature of the Inquiry ............................................................................................... 218
Exposure to Seeing the Videos ............................................................................................. 218
The Positive Attitude of the Facilitator ................................................................................. 219
Completing the Pre-AI Diary Response Form ...................................................................... 219
The Passage of Time ............................................................................................................. 220
Mechanisms .................................................................................................................. 220
Process Reflection ................................................................................................................. 220
Content Reflection ................................................................................................................ 221
Critical Reflection on Assumptions ...................................................................................... 221
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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION viii

Feelings of Increased Pleasantness ............................................................................... 222
Feelings of Participation ............................................................................................... 223
Time-ordered Display ................................................................................................... 224
Across-category Clustering ........................................................................................... 225
CHAPTER SIX: DISCUSSION ................................................................................ 227
Types of Cognitive Outcome Patterns and the Role of During-AI Contexts ............... 229
Types of Cognitive Outcome Patterns .................................................................................. 229
During-AI Contexts ............................................................................................................... 235
Summary of Types of Cognitive Outcome Patterns and the Role of During-AI Contexts ... 238
The Role of Pre-AI Contexts on the Degree of Transition ........................................... 239
Degree of Transition ............................................................................................................. 239
Pre-AI Contexts ..................................................................................................................... 241
Summary of Role of Pre-AI Contexts on the Degree of Transition ...................................... 246
The Affective Outcome Patterns and the Role of Reflective Mechanisms on
Transition ...................................................................................................................... 247
Transition without Critical Reflection on Assumptions and with Increased Pleasantness ... 247
The Occurrence of Critical Reflection on Assumptions with Feelings of Unpleasantness ... 250
The Effect of Initiating an AI Intervention ........................................................................... 252
Unallocated Outcome Regularity Grouping .......................................................................... 253
Summary of Affective Outcome Patterns and the Role of Reflective Mechanisms on
Transition .............................................................................................................................. 255
Review of the Analytic Framework .............................................................................. 256
Generative Propositions ................................................................................................ 257
Trustworthiness of the Study ........................................................................................ 262
Credibility ............................................................................................................................. 263
Transferability ....................................................................................................................... 265
Dependability and Confirmability ......................................................................................... 266
Trustworthiness: Summary ................................................................................................... 268

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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION ix

CHAPTER SEVEN: CONCLUSION AND RECOMMENDATIONS .................. 269
Research Contribution .................................................................................................. 269
Theoretical Contribution ....................................................................................................... 269
Methodological Contribution ................................................................................................ 271
Empirical Contribution ......................................................................................................... 274
Practical Contribution ........................................................................................................... 275
Limitations of the Study ............................................................................................... 277
Recommendations for further research ......................................................................... 279
Conclusion .................................................................................................................... 281
References .................................................................................................................... 282
Appendices .................................................................................................................... 297

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EMPLOYEE TRANSITION THROUGHOUT AN AI INTERVENTION x

List of Figures
Figure 1: Generic model for a programme theory in realist evaluation (Pawson &
Tilley, 1997, p. 58). ........................................................................................................... 9
Figure 2: Stages of transition (Adams & Spencer, 1988, p. 62). ................................... 26
Figure 3: Cyclical transition model (French & Delahaye, 1996, p. 26) ........................ 27
Figure 4: Change curves (Schneider & Goldwasser, 1998, p. 41) ................................ 28
Figure 5: Summary of transition path based on literature. ............................................ 29
Figure 6: Facets of generativity from Bushe (2013b, p. 93). ......................................... 36
Figure 7: Deduced programme theory for employee transition throughout an
Appreciative Inquiry Intervention .................................................................................. 59
Figure 8: The accumulated number of categories per case ............................................ 75
Figure 9: Data collection process. ................................................................................. 78
Figure 10: Russell’s (1989) circumplex model for measuring emotion. ....................... 85
Figure 11: The data-coding techniques and processes. ................................................. 93
Figure 12: The analytical process as adapted from Pawson and Tilley (1997) ............. 95
Figure 13: Allison’s transition path in the format of focused configurations. ............. 113
Figure 14: Bernice’s transition path in the format of focused configurations. ............ 130
Figure 15: Eddie’s transition path in the format of focused configurations. ............... 143
Figure 16: Lala’s transition path in the format of focused configurations. ................. 160
Figure 17: Maria’s transition path in the format of focused configurations. ............... 175
Figure 18: Susan’s transition path in the format of focused configurations. ............... 191
Figure 19: The abstract configurations relating to types of cognitive outcome patterns.
...................................................................................................................................... 234
Figure 20: The abstract configurations relating to types of cognitive outcome patterns
and generativity and positivity-orientated activities ..................................................... 239
Figure 21: Revised programme theory for employee transition throughout an
Appreciative Inquiry Intervention.. .............................................................................. 258

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