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Appendix 4: Names and Theories

A4.1 Maslow Hierarchy of Needs

A4.1.1 Physiological Needs

These include the most basic needs that are vital to survival, such as the need for water, air, food, and sleep. Maslow believed that these needs are the most basic and instinctive needs in the hierarchy because all needs become secondary until these physiological needs are met.

Most of these lower level needs are probably fairly apparent. We need food and water to survive. We also need to breathe and maintain a stable body temperature. In addition to eating, drinking, and having adequate shelter and clothing, Maslow also suggested that sexual reproduction was a basic physiological need.

A4.1.2 Security Needs

These include the needs for safety and security. Security needs are important for survival, but they are not as demanding as the physiological needs. Examples of security needs include a desire for steady employment, health care, safe neighborhoods, and shelter from the environment.

The needs become a bit more complex at this point in the hierarchy. Now that the more basic survival needs have been fulfilled, people begin to feel that they need more control and order to their lives. A safe place to live, financial security, physical safety, and staying healthy are all concerns that might come into play at this stage.

A4.1.3 Social Needs

These include needs for belonging, love, and affection. Maslow described these needs as less basic than physiological and security needs. Relationships such as friendships,

romantic attachments, and families help fulfill this need for companionship and acceptance, as does involvement in social, community, or religious groups.

A4.1.4 Esteem Needs

After the first three needs have been satisfied, esteem needs becomes increasingly important. These include the need for things that reflect on self-esteem, personal worth, social recognition, and accomplishment.

At this point, it becomes increasingly important to gain the respect and appreciation of others. People have a need to accomplish things and then have their efforts recognized. People often engage in activities such as going to school, playing a sport, enjoying a hobby, or participating in professional activities in order to fulfill this need.

Satisfying this need and gaining acceptance and esteem helps people become more confident. Failing to gain recognition for accomplishments, however, can lead to feelings of failure or inferiority.

A4.1.5 Self-Actualizing Needs

This is the highest level of Maslow’s hierarchy of needs. Self-actualizing people are self-aware, concerned with personal growth, less concerned with the opinions of others, and interested in fulfilling their potential.

A4.2 Herzberg (Two Factor Theory)

A4.2.1 Theory[1]

Herzberg was the first to show that satisfaction and dissatisfaction at work nearly always arose from different factors, and were not simply opposing reactions to the same factors, as had always previously been (and still now by the unenlightened) believed.

In 1959 Herzberg wrote the following useful little phrase, which helps explain this fundamental part of his theory, i.e., that the factors which motivate people at work are different to and not simply the opposite of the factors which cause dissatisfaction:[1]

“We can expand ... by stating that the job satisfiers deal with the factors involved in doing the job, whereas the job dissatisfiers deal with the factors which define the job context.”

A4.2.2 Motivation

People are only truly motivated by enabling them to reach for and satisfy the factors that Herzberg identified as real motivators, such as achievement, advancement, development, etc., which represent a far deeper level of meaning and fulfillment.

Herzberg’s research identified that true motivators were other completely different factors, notably:

■ achievement

■ recognition

■ work itself

■ responsibility

■ advancement

A4.2.3 Hygiene

Herzberg’s research proved that people will strive to achieve ‘hygiene’ needs because they are unhappy without them, but once satisfied the effect soon wears off - satisfaction is temporary. Then as now, poorly managed organizations fail to understand that people are not ‘motivated’ by addressing ‘hygiene’ needs. Examples of Herzberg’s ‘hygiene’ needs (or maintenance factors) in the workplace are:[3]

■ policy

■ relationship with supervisor

■ work conditions

■ salary

■ company car

■ status

■ security

■ relationship with subordinates

■ personal life

A4.3 Victor Vroom (Expectancy Theory)

A4.3.1 Theory

The Expectancy theory states that employee’s motivation is an outcome of how much an individual wants a reward (Valence), the assessment that the likelihood that the effort will lead to expected performance (Expectancy), and the belief that the performance will lead to reward (Instrumentality). In short, Valence is the significance associated by an individual about the expected outcome. It is an expected and not the actual satisfaction that an employee expects to receive after achieving the goals. Expectancy is the faith that better efforts will result in better performance. Expectancy is influenced by factors such as possession of appropriate skills for performing the job, availability of right resources, availability of crucial information, and getting the required support for completing the job.

A4.3.2 Expectancy

Expectancy refers to the “effort-performance” relation. Thus, the perception of the individual is that the effort that he or she will put forward will actually result in the attainment of the “performance.” This cognitive evaluation is heavily weighted by an individual’s past experiences, personality, self-confidence, and emotional state.

A4.3.3 Instrumentality

Instrumentality refers to the “performance-reward” relation. The individual evaluates the likelihood or probability that achieving the performance level will actually result in the attainment of the reward[4] [5]

A4.3.4 Valence

Valence is the value that the individual associates with the outcome (reward). A positive valence indicates that the individual has a preference for getting the reward as opposed to, vice versa, a negative valence that is indicative that the individual, based on his perception, evaluated that the reward doesn’t fill a need or personal goal, thus he or she doesn’t place any value towards its attainment.[5]

A4.3.5 Motivational Force

As the Motivational Force (MF) is the multiplication of the expectancy by the instrumentality it is then by the valence that any of the perception having a value of zero or the individual’s feeling that “it’s not going to happen” will result in a motivational force of zero.

A4.4 Douglas McGregor (Theory X and Theory Y)

A4.4.1 Theory

McGregor developed a philosophical view of humankind with his Theory X and Theory Y in I960. His work is based upon Maslow’s Hierarchy of Needs, in that he grouped the hierarchy into lower-order needs (Theory X) and higher-order needs (Theory Y). He suggested that management could use either set of needs to motivate employees, but better results would be gained by the use of Theory Y, rather than Theory X. These two opposing perceptions theorized how people view human behavior at work and organizational life, Theory X and Theory Y

A4.4.2 Theory X

With Theory X assumptions, management’s role is to coerce and control employees/

■ People have an inherent dislike for work and will avoid it whenever possible.

■ People must be coerced, controlled, directed, or threatened with punishment in order to get them to achieve the organizational objectives.

■ People prefer to be directed, do not want responsibility, and have little or no ambition.

■ People seek security above all else.

A4.4.3 Theory Y

With Theory Y assumptions, managements role is to develop the potential in employees and help them to release that potential towards common goals.

■ Work is as natural as play and rest.

■ People will exercise self-direction if they are committed to the objectives (they are NOT lazy).

■ Commitment to objectives is a function of the rewards associated with their achievement.

■ People learn to accept and seek responsibility.

■ Creativity, ingenuity, and imagination are widely distributed among the population. People are capable of using these abilities to solve an organizational problem.

■ People have potential.

A4.5 Argyris

A4.5.1 Immaturity-Maturity Theory

Chris Argyris in Personality and Organization (1957) and Interpersonal Competence and Organizational Effectiveness (1962) suggested that directive management styles foster immaturity and dependency and that more participative management styles foster mature and active employees. Indeed, he went beyond the individual level to suggest that an organization might be viewed “as an organism worthy of self- actualization” itself (P &C O, p. 58).[7]

A4.5.2 Bureaucratic/Pyramidal Value System

According to Argyris, following bureaucratic or pyramidal values leads to poor, shallow, and mistrustful relationships. Because these relationships do not permit the natural and free expression of feelings, they are phony or non-authentic and result in decreased interpersonal competence. “Without interpersonal competence or a ‘psychological safe’ environment, the organization is a breeding ground for mistrust, intergroup conflict, rigidity, and so on, which in turn lead to a decrease in organizational success in problem solving.”

A4.5.3 Humanistic/Democratic Value System

If, on the other hand, humanistic or democratic values are adhered to in an organization, Argyris claims that trusting, authentic relationships will develop among people and will result in increased interpersonnal competence, intergroup cooperation, flexibility, and the like and should result in increases in organizational effectiveness.1'

A4.5.4 Model I-Inhibiting Double Loop Learning

Argyris tells us that when human beings deal with issues that are embarrassing or threatening, their reasoning and actions conform to a model called Model Id Trying to make change in a Model I organization is difficult because you are dealing with their Espoused Theory. It is neither rewarding nor safe for them to explore or actually change their mental models and decision rules — so there is a wide gap between their Espoused Theory and their Theory in Use. The defensive behavior in Model I organizations create a vicious make this divide even greater. Model I organizations have the following values and supporting behaviors.

  • 1. Define goals and try to achieve them. Participants rarely develop mutual definition of purposes - nor are they open to altering their perception of the task. Participants plan actions secretly and manipulate others to agree with their definition of the situation.
  • 2. Maximize winning and minimize losing. Participants feel that once they have decided on their individual goals it is sign of weakness to change them.
  • 3- Minimize generating or expressing negative feelings. Expressing or permitting others to express feelings is a bad strategy. Participants unilaterally protect themselves.
  • 4. Be rational. Interactions are objective discussions of the issues.Participants withhold the truth, suppress feelings, and offer false sympathy to others.

Model I behavior results in organizational defensive behaviors that block exploring underlying mental models and the resulting maturity that arises. Most organizations exhibit Model I values and behavior most of the time.

A4.5.5 Model ll-Encouraging Double Loop Learning

Argyris describes a much more productive type of organization that he calls Model II.[8] In a Model II organization, it is safe and rewarding to the participants to explore underlying mental models and decision rules. Model II organizations have the following values and supporting behaviors.

  • 1. Valid information. Participants design environments where accurate information is shared and underlying assumptions can be openly explored.
  • 2. Free and informed choice. The participants jointly control tasks and focus on collaborative problem solving.
  • 3- Internal commitment. The participants jointly protect each other in learning and risk taking. Mental models and decision rules are jointly explored.

Model II behavior results in organizational behavior that enhances underlying learning. High maturity organizations exhibit Model II values and behavior.

A4.5.6 Espoused Theory

Espoused theories are those that an individual claims to follow.

This refers to the formalized part of the organization. Every firm will tend to have various instructions regarding the way employees should conduct themselves in order to carry out their jobs (e.g., problem solving). These instructions are often specific and narrow in focus, confining the individual to a set path. An example of espoused theory might be “if the computer does not work, try rebooting it and then contact the IT department.”[9]

A4.5.7 Theories-in-Use

Theories-in-use are those that can be inferred from action. This is the actual way things are done. Individuals will rarely follow espoused theory and will rely on interaction and brainstorming to solve a problem. Theory in use refers to the loose, flowing, and social way that employees solve problems and learn. An example of this might be the way someone actually solves a problem with their computer by troubleshooting solutions, researching on forums, asking co-workers for opinions, etc.

A4.6 Argyris and Schon

A4.6.1 Single and Double-Loop Learning

For Argyris and Schon learning involves the detection and correction of error. Where something goes wrong, it is suggested, an initial port of call for many people is to look for another strategy that will address and work within the governing variables. In other words, given or chosen goals, values, plans, and rules are operationalized rather than questioned. According to Argyris and Schon, this is single-loop learning. An alternative response is to question governing variables themselves, to subject them to critical scrutiny. This they describe as double-loop learning. Such learning may then lead to an alteration in the governing variables and, thus, a shift in the way in which strategies and consequences are framed. Thus, when they came to explore the nature of organizational learning. This is how Argyris and Schon described the process in the context of organizational learning:

Here we come to the focus of organizational effort - the formulation and implementation of an intervention strategy. This, according to Argyris and Schon, involves the ‘interventionist’ in moving through six phases of work:

■ Phase 1 Mapping the problem as clients see it. This includes the factors and relationships that define the problem, and the relationship with the living systems of the organization.

■ Phase 2 Hie internalization of the map by clients. Through inquiry and confrontation the interventionists work with clients to develop a map for which clients can accept responsibility. However, it also needs to be comprehensive.

■ Phase 3 Test the model. This involves looking at what ‘testable predictions’ can be derived from the map - and looking to practice and history to see if the predictions stand up. If they do not, the map has to be modified.

■ Phase 4 Invent solutions to the problem and simulate them to explore their possible impact.

■ Phase 5 Produce the intervention.

■ Phase 6 Study the impact. This allows for the correction of errors as well as generating knowledge for future designs. If things work well under the conditions specified by the model, then the map is not disconfirmed.

A4.7 Rensis Likert (Management Theory)

A4.7.1 Theory

The management theory of Rensis Likert brought a new dimension to organizational development theory. The Likert system made it possible to quantify the results of all the work various theorists had been doing with group dynamics. Likert theory also facilitated the measurement of the “soft” areas of management, such as trust and communication

Additionally, Likert delineated the characteristics of high- and low-producing organizations and identified the problems with traditional organizational structures. Rensis Likert recognized four management styles, or systems.

A4.7.2 Exploitative-Authoritafive

The first system of Rensis Likert theory is characterized by decision making in the upper echelons of the organization, with no teamwork and little communication other than threats

A4.7.3 Benevolent-Authoritative

This Likert system is based on a master-servant relationship between management and employees, where rewards are the sole motivators and both teamwork and communication are minimal.

A4.7.4 Consultative

In this style, managers partly trust subordinates, use both rewards and involvement to inspire motivation, foster a higher level of responsibility for meeting goals, and inspire a moderate amount of teamwork and some communication.

A4.7.5 Participative-Group

This system is based on managerial trust and confidence in employees; collectively determined, goal-based rewards; a collective sense of responsibility for meeting company objectives; collaborative teamwork and open communication.

A4.8 Alderfer

A4.8.1 ERG Theory

In an attempt to line up Maslow’s Theory of Needs with empirical studies, Alderfer’s ERG Theory elicits three core requirements: Existence, Relatedness, and Growth. This categorization reduction is the result of earlier research on Maslow Hierarchy of Needs that indicates some overlap within the middle levels. According to Alderfer, the needs aren’t in any order and any desire to fulfill a need can be activated at any point in time. This results in the the lower level needs not requiring to be satisfied in order to satisfy a higher level need. Alderfer’s ERG Theory can actually be utilized as a frustration-regression principle where an already satisfied lower level need can be “re-activated” when confronted with the impossibility of satisfying a higher level one.

A4.8.2 Existence

Relates to a person’s physical needs such as food, clothing, and shelter.

A4.8.3 Relatedness

Relates to a person’s interpersonal needs within his personal as well as professional settings.

A4.8.4 Growth

Relates to a person’s needs of personal development.

A4.9 William McDougall

A4.9.1 Instinct Theory of Motivation

One of the pioneers of instinct theories of motivation is the English-born social psychologist, William McDougall, who formed the Hormic Psychology, with

iiormic’ meaning animal impulse or urge. Hormic Psychology is based on determined and goal-oriented behaviors that are supposed to be motivated by instincts, which are spontaneous, persistent, variable, and repetitive. McDougall highlighted the instinctive nature of purposeful behaviors, but also recognized that learning is possible.

In his theory, instincts are composed of three parts: perception, behavior, and emotion. Human beings have a perceptual predisposition to focus on stimuli that are important to their goals. For example, people pay attention to food odors when hunger instincts are involved. Individuals are also predisposed to move to the goal, like going to the kitchen and checking the refrigerator if there is food, or checking out the source of smell of the food that was identified. And lastly, humans have the drive and energy which is called “emotional core” between perception of the goal and the movement towards it.

A4.10 B. F. Skinner

A4.10.1 Incentive Theory of Motivation

An incentive is either a promise or an act that is provided for the sake of greater action. In business, an incentive may be an additional benefit or remuneration or job promotion given to an employee either to recognize his achievements or encourage him to perform better. Additional remuneration or benefits motivate an employee to accomplish greater things. On the other hand, non-monetary incentives such as job promotion, job security, pride of accomplishment, and job satisfaction are also employee motivators, according to this theory.

Unlike the drive-reduction theory, the incentive theory states that a stimulus (in this case, an incentive) attracts a person towards it. An individual will more likely behave in order to get himself closer to the incentive. The theory is grounded on the principle of conditioning an incentive to make a person happier. For example, a student who studied hard during his college years is happy to receive a medal on his graduation day.

A4.10.2 Positive Incentives

Incentives that give a positive guarantee for satisfying an individual’s needs and wants are called positive incentives. These incentives involve the principle of optimism and are provided to fulfill the employee’s psychological requirements. For instance, a

supervisor praises a new employee for a job well done. Other positive incentives include recognition, job promotion, additional allowances, trophies, and medals.

A4.10.3 Negative Incentives

As opposed to positive incentives, negative incentives are provided in order to rectify an individual’s mistakes and errors for the sake of achieving satisfying results. More often than not, negative incentives are given if the positive incentives do not work, conditioning a person to act to avoid such negative incentives. These include job demotion, penalties, and fines.

A4.10.4 Operant Conditioning

B.F. Skinner coined the term operant conditioning; it means roughly changing of behavior by the use of reinforcement which is given after the desired response. Skinner identified three types of responses or operants that can follow behavior.

■ Neutral operants: Responses from the environment that neither increase nor decrease the probability of a behavior being repeated.

■ Reinforcers: Responses from the environment that increase the probability of a behavior being repeated. Reinforcers can be either positive or negative.

■ Punishers: Responses from the environment that decrease the likelihood of a behavior being repeated. Punishment weakens behavior.

A4.11 Clark L. Hull

A4.11.1 Drive-Reduction Theory

A “drive” is a state of arousal or tension triggered by a person’s physiological or biological needs. These needs include hunger, thirst, need for warmth, etc. In this theory, Hull stated that drives give rise to an individual’s motivation. Furthermore, Hull explained that an individual is in a state of need when his survival is threatened. When a person’s drive emerges, he will be in an unpleasant state of tension and the person will behave in such a way that this tension is reduced. To reduce the tension, he will begin seeking out ways to satisfy his biological needs. For instance, you will look for water to drink if you are thirsty. You will seek for food if you are hungry.1

According to the theory, any behavior that reduces the drives will be repeated by humans and animals. This is because the reduction of the drive serves as a positive reinforcement (i.e., a reward) for the behavior that caused such drive reduction.

A4.12 Frederick Taylor

A4.12.1 Theory of Scientific Management

Scientific management theory seeks to improve an organization’s efficiency by systematically improving the efficiency of task completion by utilizing scientific, engineering, and mathematical analysis. The goal is to reduce waste, increase the process and methods of production, and create a just distribution of goods. This goal serves the common interests of employers, employees, and society.[10]

Scientific management theory can be summarized by Taylor’s Four Principles:[10]

  • 1. Managers should gather information, analyze it, and reduce it to rules, laws, or mathematical formulas.
  • 2. Managers should scientifically select and train workers.
  • 3- Managers should ensure that the techniques developed by science are used by the workers.
  • 4. Managers should apply the work equally between workers and themselves, where managers apply scientific management theories to planning and the workers perform the tasks pursuant to the plans.

A4.13 Elton Mayo

A4.13.1 Theory of Human Relations

Elton Mayo’s theory of motivation examined the social needs of the worker.[10] He believed that pay alone was not sufficient to motivate employees to put forth their best effort. He believed that the social needs of the workers should be taken into consideration. He recommended employers treat their workers in a caring and humane fashion that demonstrates an interest in the individual in order to have them produce their best work.5.

A4.14 Senge

A4.14.1 Personal Mastery

Personal mastery is a set of specific principles and practices that enables a person to learn, create a personal vision, and view the world objectively. The concept of personal mastery is one of five disciplines Senge argues is necessary for a learning organization. A learning organization encourages and facilitates learning at all levels so that it may transform and adapt in an ever-changing and dynamic world.[13] [14]

A4.14.2 Mental Models

“Mental models are deeply held internal images of how the world works, images that limit us to familiar ways of thinking and acting. Very often, we are not consciously aware of our mental models or the effects they have on our behavior.”1

Mental models are an important component of Senge’s conception of a learning organization. You must have a command of mental models in order to effectively build a learning organization. Learning organizations are important because they facilitate and encourage learning within all levels of an organization, permitting the organization to adapt and transform in a complex environment.

A4.14.3 Shared Vision

The practice of shared vision involves the skills of unearthing shared 'pictures of the future’ that foster genuine commitment and enrollment rather than compliance. In mastering this discipline, leaders learn the counter-productiveness of trying to dictate a vision, no matter how heartfelt.[14]

Visions spread because of a reinforcing process. Increased clarity, enthusiasm, and commitment rub off on others in the organization. 'As people talk, the vision grows clearer. As it gets clearer, enthusiasm for its benefits grow.’15 There are ‘limits to growth’ in this respect, but developing the sorts of mental models outlined above can significantly improve matters. Where organizations can transcend linear and grasp system thinking, there is the possibility of bringing vision to fruition[14]

A4.14.4 Team Learning

Such learning is viewed as ‘the process of aligning and developing the capacities of a team to create the results its members truly desire.’[17] It builds on personal mastery and shared vision - but these are not enough. People need to be able to act together. When teams learn together, Peter Senge suggests, not only can there be good results for the organization, members will grow more rapidly than could have occurred otherwise.

The discipline of team learning starts with ‘dialog,’ the capacity of members of a team to suspend assumptions and enter into a genuine ‘thinking together.’ To the Greeks dia-logos meant a free-flowing of meaning through a group, allowing the group to discover insights not attainable individually.... [It] also involves learning how to recognize the patterns of interaction in teams that undermine learning.*

A4.14.5 Systems Thinking

Systems thinking - the cornerstone of the learning organization. A great virtue of Peter Senge’s work is the way in which he puts systems theory to work. The Fifth Discipline provides a good introduction to the basics and uses of such theory - and the way in which it can be brought together with other theoretical devices in order to make sense of organizational questions and issues. Systemic thinking is the conceptual cornerstone (‘The Fifth Discipline’) of his approach. It is the discipline that integrates the others, fusing them into a coherent body of theory and practice (ibid.: 12). Systems theory’s ability to comprehend and address the whole, and to examine the interrelationship between the parts, provides, for Peter Senge, both the incentive and the means to integrate the disciplines.

Flere is not the place to go into a detailed exploration of Senge’s presentation of systems theory (I have included some links to primers below). However, it is necessary to highlight one or two elements of his argument. First, while the basic tools of systems theory are fairly straightforward they can build into sophisticated models.

Peter Senge argues that one of the key problems with much that is written about, and done, in the name of management is that rather simplistic frameworks are applied to what are complex systems. We tend to focus on the parts rather than seeing the whole, and to fail to see an organization as a dynamic process. Thus, the argument runs, a better appreciation of systems will lead to more appropriate action.

A4.15 Buckminster Fuller

A4.15.1 Systems Theory

Systems theory is the interdisciplinary study of systems in general, with the goal of discovering patterns and elucidating principles that can be discerned from, and applied to, all types of systems at all nesting levels in all fields of research. Systems theory can reasonably be considered a specialization of systems thinking or as the goal output of systems science and systems engineering, with an emphasis on generality useful across a broad range of systems (versus the particular models of individual fields).

A4.16 Fisher

A4.16.1 Theory of Decision Emergence

Fisher’s theory of decision emergence includes four phases which a group goes through in the decision making process. According to Fisher the distribution of different tasks and decision making changes a team and, when managed successfully, it makes the team stronger.

Tlie first phase is the orientation phase, where team members establish relationships but also tensions. Effective communication is very important in this phase but it is also quite difficult because team members may not know each other well enough for complete trust to exist.

Next comes the conflict phase. New ideas will be discussed and there may well be significant tension as the proposers and champions of alternative approaches interact. If a natural order within the team emerges then a strong team can result. However, in some teams the conflict continues and competing factions can form.

The next phase is emergence, where the outcome of the conflict phase takes form. During this phase some people may need to soften their positions so as not to seem dominating. Individuals may need to put the interests of the team above their own personal needs and decisions.

The final phase is the reinforcement phase. Here all members of the team need to commit to the objectives and plans, whether they agree with them personally or not.

A4.17 David Bohm

A4.17.1 Theory of Dialog

Bohm has introduced the concept of a dialog stating that* dialog can be considered as a free flow of meaning between people in communication, in the sense of a stream that flows between banks. These “banks” are understood as representing the various points of view of the participants.

...it may turn out that such a form of free exchange of ideas and information is of fundamental relevance for transforming culture and freeing it of destructive misinformation, so that creativity can be liberated.

David Bohm

A dialog has no predefined purpose, no agenda, other than that of inquiring into the movement of thought, and exploring the process of “thinking together” collectively. This activity can allow group participants to examine their preconceptions and prejudices, as well as to explore the more general movement of thought. Bohm’s intention regarding the suggested minimum number of participants was to replicate a social/cultural dynamic (rather than a family dynamic). This form of dialog seeks to enable an awareness of why communicating in the verbal sphere is so much more difficult and conflict-ridden than in all other areas of human activity and endeavor.

Dialog should not be confused with discussion or debate, both of which, says Bohm, suggest working towards a goal or reaching a decision, rather than simply exploring and learning. Meeting without an agenda or fixed objective is done to create a “free space” for something new to happen.

Dialog is really aimed at going into the whole thought process and changing the way the thought process occurs collectively. We haven’t really paid much attention to thought as a process. We have ENGAGED in thoughts, but we have only paid attention to the content, not to the process. Why does thought require attention? Everything requires attention, really. If we ran machines without paying attention to them, they would break down. Our thought, too, is a process, and it requires attention; otherwise it’s going to go wrong.

A4.18 Kurt Lewin

A4.18.1 Change Management

This three stage theory of change is commonly referred to as Unfreeze, Change, Freeze (or Refreeze). It is possible to take these stages to quite complicated levels but I don’t believe this is necessary to be able to work with the theory. But be aware that the theory has been criticized for being too simplistic.

A lot has changed since the theory was originally presented in 1947, but the Kurt Lewin model is still extremely relevant. Many other more modern change models are actually based on the Kurt Lewin model.

A4.19 Deming[18]

A4.19.1 14 Points

A4.19.1.1 Constancy of Purpose

Build an environment where there is a constancy of improvement, of the product, process, and individual. Do not take a short term approach to this improvement, but one that expands over the life of the company with the goal of staying in business and providing jobs.

A4.19.1.2 Adopt New Philosophy

A new era and social changes require change to match these opportunites and requirements. The historical western approach to management exacerbates the 7 deadly diseases. Management needs to adapt, to meet the ever increasing demands such as regulatory and antitrust constraints while improving employees the employees well-being.

A4.19.1.3 Cease Dependence on Inspections

Inspection happens for more than production, but also for those things in product development that eventually culminate in the product. Design reviews, for example, are forms of inspection. Build quality into the product all along the way. Inspections happen after time, money, and materials have been invested in the product, not to mention the inspections also take time and add cost.

A4.19.1.4 End Awarding Business on Cost

Businesses tend to focus on costs, otherwise it would be difficult, even impossible to remain in business. However, rather than award business on the material price tag only, consider the entire cost of the product. For example, how does the product variation impact on quality of ownership. Are incoming material inspections required? Will we need new or specialized equipment or processes to account for this variation? Are there special product or material handling requirements?

In addition to focusing on the entire cost, it is important to develop a partnership with suppliers. The same open mental models and open communication employed internal to the company that drives improvement, is also required to extend improvement areas throughout the supply chain. This is no doubt more difficult than it sounds and requires a relationship beyond just purchasing the material. For standardized parts or commodity parts, perhaps a more stand-off approach can be taken. Even so, organizations should develop a long-term relationship with the suppliers of choice. Purchasing managers need to move from a hard contract negotiation to a symbiotic relationship with the suppliers, and this will require the organization at large to set processes, procedures, and more importantly, culture to support. When suppliers to the business go out of business, can your business be far behind?

A4.19.1.5 Improve Constantly - Forever

Continuously improve the product development, manufacturing, and service processes. The result of this improvement is to improve cost by improving the quality and cost. The product quality originates from the design effort. The constant improvement effort is designed to optimize the product, see the new product as a unique entity optimizing the design around the specific demands of the product. Continue to improve team work as well as product development and testing methods.

A4.19.1.6 Institute Training

Training on the job should occur, not just at the level of employee but also that of the management. Managers and project managers should understand how the work moves through the company. This training includes widespread understanding of variation, which includes expertise with a minimum set of evaluation tools, not just employed on material, or manufacturing processes but processes for the product development work. Management must work to eliminate those things that gets in the way carrying out the work with satisfaction.

A4.19.1.7 Adopt and Institute Leadership

Management and project management are there to help people, processes, and tools to do a better job. Management and project management are not about supervision, or dictating. Management focuses on improvement, and work with those that do the work to find ways to reach those objectives.

When problems arise, management must be able to discern common cause from special cause and understand the limits on the system that would allow this discernment, starting from the clear definition of the objective and what constitutes acceptable quality output.

A4.19.1.8 Drive Out Fear

It is difficult to do your best when you are afraid of making a mistake, or of having a job long term. Encourage learning and a workplace where this learning is shared. We have been seen projects where the people doing the work report favorably, and we knew for a fact that the circumstances were anything but acceptable. Where fear is, there too is false or optimistic reporting. This is not in the least helpful for the project or the organization. Covering up problems just delays the resolution at best and may contribute to the collapse of the company.

A4.19.1.9 Breakdown Barriers Between Staff

An organization’s structure can get in the way of being able to effectively work; this can be especially true in organizations that are functionally oriented. This orientation helps refine the competence of each functional area as it focuses on that topic, but often comes at the detriment of communications. These functional areas, research, design and development, manufacturing, aftermarket, sales and marketing, for example, are all part of the same team and free communication between these entities is required for success.

A4.19.1.10 Eliminate Slogans

Slogans amount to unproductive hand waving, and do nothing to help improve the organization.

A4.19.1.11 Eliminate Work Standards

“A quota is a fortress against improvement of quality and productivity. I have yet to see a quota system that includes any trace of a system by which to help anyone to do a better job. A quota is totally incompatible with never-ending improvement.”[19]

This elimination, and for much the same reasons, applies to management. Rather than dwell on numbers, use leadership.

A4.19.1.12 Remove Barriers that Rob People of Pride of Work

It is impossible to have pride in workmanship, of any kind, when there is no measure, identification, or distinguishing characteristis for good work. It is therefore important to establish parameters and specific magnitude for those performing the work. Many project managers and managers too have been bitten by insufficient articulation of what constitutes done, complete or good. In conventional projects this would be described in the WBS dictionary, or in Scrum, the definition of done.

A4.19.1.13 Encourage Education and Self-Improvement for Everyone

People arrive at the organization with some set of skills, not very likely a perfect fit every time, nor over time. As the organization grows, there are opportunities for learning. The company adapts to regulation or external competitive forces; this too requires learning. Some of this happens on the job, some happens at home, and some happens in formal settings.

A4.19.1.14 Take Action

Get every person in the company focused on the transformation. Experiments, learning, and application should be happening every where and from everyone in the company.

A4.19.2 Seven Deadly Diseases

A4.19.2.1 Lack of Constancy of Purpose

The company has no continuous connection with the market through product or service development to keep the company employing people well into the future. There is a hyperfocus on the immediate, and that includes the products and services presently provided without this long term and continuous exploration into future revenue streams for the company.

A4.19.2.2 Focus on Short Term Profits

A hyper-focus on the short term, often driven by fear, erodes the constancy of purpose. A great many changes are not the sort of thing that can be decided, executed, and funded in a very short term. Therefore there must be focus not only on the short term but the long as well.

A4.19.2.3 Annual Merit Rating

The annual merit rating, besides fostering often unhealthy competition between the team members, inhibits information sharing, and introduces politics, but also comes with a helping of fear from the employees. Individual merits rating drives individual behavior and is not a collaborative and sharing behavior that the organization truly needs to improve.

A4.19.2.4 Mobility of Management

Short tenured management and management rotation of a few years are not congruent with establishing certainty. Working toward quality and productivity requires consistency of leadership, and the plan to rotate managers around runs contrary. However, it is not just management that impacts this constancy, but also the team members. A revolving door of new team members is a very good indicator there is a problem in the organization.

A4.19.2.5 Running Company on Visible Figures Alone

Visible or easily determinable attributes and metrics, for example, sales income, material costs, and taxes, are important, but not the only thing that is important. There are many other things we should consider when we are working our changes, that are no less tangible but much more difficult to measure, for example, poor morale of the employees and team members will have an adverse impact on the company, but measuring what “poor” means and “impact” will be very difficult indeed.

It would be nice if all of the data which sociologists require could be enumerated because then we could run them through IBM machines and draw charts as the economists do. However, not everything that can be counted counts, and not everything that counts can be counted.

William Bruce Cameron

The Elements of Statistical Confusion Or: What Does the Mean Meanl

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