The Basis of Transition Theory in Lewin’s Theories of Change

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INTRODUCTION

The research interest is in the field of organisational change, where, despite frequent citations in the organisational change literature of failure rates of 60% or more (Beer & Nohria, 2000; By, 2005; Burnes, 2011), there are few studies that explain why this might be so (Burnes, 2011). Process theory in the field of organisational change is referred to as organisational development (OD) (Van de Ven & Poole, 1995) and it is evolving away from diagnostic OD which emphasises problem-solving, a single objective reality, and an emphasis on changing behaviour towards dialogic OD which emphasises social processes, multiple realities, and an emphasis on changing mind-sets (Bushe & Marshak, 2009; By, Oswick, Burnes, 2014). As OD evolves from the diagnostic OD paradigm towards the dialogic OD paradigm, it is especially important to obtain a better understanding of the theories-of-change underlying the emerging dialogic OD. In particular, the research interest is in appreciative inquiry (AI) which, although acknowledged as the most prominent form of dialogic OD (By et al., 2014; Roberts, 2006) with many accounts of its successful use in practice, there is a dearth of published peer-reviewed research examining the field (Bushe, 2011; Bushe & Storch, 2015; Cameron, Dutton, & Quinn, 2009; Cooperrider, 2013). Specifically, there has been little research into how employees experience and make sense of change under AI. This research aims to make a contribution to building the theory underlying AI by addressing this gap in the literature.
The research design is a multiple-case study, cast in a realist evaluation which acknowledges that individual-level outcomes of an intervention are explained by how the individual interprets and acts upon the intervention in particular contexts (Pawson & Tilley, 2004). The research process consists of deducing an embryonic programme theory from literature to broadly guide the empirical stage of the research. The research therefore aims to build theory by validating or extending conceptually an embryonic theoretical framework. By strengthening the theory underlying AI, the research provides a better foundation for further research into the basis for AI’s effectiveness and also provides an improved understanding of its practical appropriateness in varying contexts.
These benefits are important, not only for AI as a particular form of dialogic OD, but also for the broader associated fields of dialogic OD and OD in general. This introductory chapter describes the background and context for the study before explaining the research problem and the research purpose. The research design and its significance is then discussed, followed by definitions of the key terminology used. The researcher is then introduced and the organisation of the thesis is outlined. Background and Context Irrespective of the actual failure rate of organisational change interventions— which may be difficult to define and determine—it is obviously important to strive to improve their likely success rate by better understanding their underlying theories and adapting practice accordingly. Van de Ven and Poole (1995) define organisational change as an “empirical observation of difference in form, quality, or state over time in an organizational entity” (p. 512).
They list entities such as individual jobs, working groups, strategies, products, or the entire organisation as the subject of change. They also clarify that OD refers to an organisational change process. Porras and Silvers (1991) distinguish between OD and Organisation Transformation (OT) saying that the former focuses mainly on changes to the work setting whilst the latter is aimed at a more profound paradigmatic change and at creating a new vision. The authors warn that OT is poorly defined. In this research the term OT will not be adopted. Rather, in keeping with Van de Ven and Poole (1995), the term organisational development (OD) will be used in reference to an organisational change process regardless of whether the change in question is operational or paradigmatic and regardless of whether it relates to a part of an organisation or an entire organisation.
Trends in the Field of Organisational Development Kurt Lewin is considered a founder of OD (Bartunek, Balogun, & Do, 2011). Schein (1994) emphatically argues that “there is little question that the intellectual father of contemporary theories of applied behavioural science, action research, and planned change is Kurt Lewin” (p. 239). Weick and Quinn (1999) refer to Lewin’s 1951 model of change consisting of the stages: unfreeze, change, and refreeze and his concept of resistance to change, as continuing to be “a generic recipe for organisational development” (p. 363). Lewin (1951) says that “to overcome this inner resistance an additional force seems to be required, a force sufficient to ‘break the habit’, to ‘unfreeze’ the custom” (p. 225). Lewin’s model is based on the assumption that resistance in the form of a quasi-stationary equilibrium is the main obstacle to change and that planned and intentional attempts to break restraints, such as personal defences, group norms or organisational culture, are required before transition can occur towards a new equilibrium (Weick & Quinn, 1999). By (2005) says that “the planned approach to change was initiated in 1946 by Lewin ….

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TABLE OF CONTENTS :

Abstract
Acknowledgements
CHAPTER ONE: INTRODUCTION
- Background and Context
- Trends in the Field of Organisational Development
- The Tempo of Organisational Change
- Levels of Analysis
- Problem Statement
- Statement of Purpose
- Research Design
- Rationale and Significance
- Definitions of Key Terminology
- The Researcher
- Organisation of the Thesis
CHAPTER TWO: LITERATURE STUDY AND DEVELOPMENT OF A DEDUCED PROGRAMME THEORY
- Transition Theory
- Learning and Schema Theory Concepts which Support Transition Theory
- The Basis of Transition Theory in Lewin’s Theories of Change
- Transition Path Models
- Summary of Transition Theory
- Appreciative Inquiry
- Appreciative Inquiry as a Form of Dialogic OD
- Appreciative Inquiry and Action Research
- The ‘Positivity versus Generativity’ Debate
- Transition under Appreciative Inquiry
- Development of a Deduced Programme Theory of Employee Transition
- throughout an Appreciative Inquiry Intervention
- Contexts
- Outcome Patterns
- Mechanisms
- The Deduced Programme Theory
- The Research Questions
CHAPTER THREE: RESEARCH DESIGN AND METHOD
- The Research Design: Multiple-case Study Cast in a Realist Evaluation
- Case Study Research
- Evaluation Research
- Methods of Selection
- The Host Organisation for the Main Study
- Number of Cases and Case-Selection Criteria
- Methods of Data Collection and the Data-collection Instruments
- Data Collection by Means of Diaries
- Data Collection by Means of Interviews
- Data Collection by Means of Direct Observation
- Data-collection Instruments
- Pilot study: Testing and Refinement of the Data-collection Instruments
- Methods of Data Analysis
- Deduced Coding Framework
- Data-Coding Techniques and Processes
- The Overall Analytical Process
- Ethical Considerations
CHAPTER FOUR: WITHIN-CASE ANALYSES
- Within-Case Analysis for Allison
- Data Description
- Data Analysis
- Within-case Analysis for Bernice
- Data Description
- Data Analysis
- Within-case Analysis for Eddie
- Data Description
- Data Analysis
- Within-case Analysis for Lala
- Data Description
- Data Analysis
- Within-case Analysis for Maria
- Data Description
- Data Analysis
- Within-case Analysis for Susan
- Data Description
- Data Analysis
- Summary of Within-case Analyses
- Transition in Terms of New Insight
- Transition in Terms of the Way of Knowing
- Transition in Terms of Positive Reinterpretation
CHAPTER FIVE: CROSS-CASE ANALYSIS
- Case Ordered Display by Degree of Transition
- High Transition Cases
- Medium Transition Cases
- Low Transition Cases
- Transition by Management and Staff Sub-groups
- Management Sub-group
- Staff Sub-group
- Transition Themes
- The Bank as Caring
- The Bank as a Great Place to Work
- The Need to Adopt a More Participative Style of Management
- Opinion of the Alignment
- Learning to Look at Bigger Picture of Organisational Change
- Learning about the Need for Participation in Organisational Change
- Learning Regarding the Ability to Choose how to React to Change
- Assertiveness Towards Those More Senior in the Management Hierarchy
- Putting the Alignment in the Past
- Positive Attitude towards Change ‘Out There’
- Pre-AI Contexts
- During-AI Contexts
- The Fact that Top Management Initiated the AI Process and/or Showed Interest in the
- Recommendations
- Became Aware of the Viewpoint of Others
- An Environment in which Participants at Multiple Levels Felt Free to Talk Openly
- The Fact that the Contents of the AI Process was Determined by the Participants
- ‘Envisioning the Positive Future’ Activity
- Inclusion of Individual Responsibilities in Discussion of Organisational Change and the
- Holistic Nature of the Inquiry
- Exposure to Seeing the Videos
- The Positive Attitude of the Facilitator
- Completing the Pre-AI Diary Response Form
- The Passage of Time
- Mechanisms
- Process Reflection
- Content Reflection
- Critical Reflection on Assumptions
- Feelings of Increased Pleasantness
- Feelings of Participation
- Time-ordered Display
- Across-category Clustering
CHAPTER SIX: DISCUSSION
- Types of Cognitive Outcome Patterns and the Role of During-AI Contexts
- Types of Cognitive Outcome Patterns
- During-AI Contexts
- Summary of Types of Cognitive Outcome Patterns and the Role of During-AI Contexts
- The Role of Pre-AI Contexts on the Degree of Transition
- Degree of Transition
- Pre-AI Contexts
- Summary of Role of Pre-AI Contexts on the Degree of Transition
- The Affective Outcome Patterns and the Role of Reflective Mechanisms on
- Transition
- Transition without Critical Reflection on Assumptions and with Increased Pleasantness
- The Occurrence of Critical Reflection on Assumptions with Feelings of Unpleasantness
- The Effect of Initiating an AI Intervention
- Unallocated Outcome Regularity Grouping
- Summary of Affective Outcome Patterns and the Role of Reflective Mechanisms on
- Transition
- Review of the Analytic Framework
- Generative Propositions
- Trustworthiness of the Study
- Credibility
- Transferability
- Dependability and Confirmability
- Trustworthiness: Summary
CHAPTER SEVEN: CONCLUSION AND RECOMMENDATIONS
- Research Contribution
- Theoretical Contribution
- Methodological Contribution
- Empirical Contribution
- Practical Contribution
- Limitations of the Study
- Recommendations for further research
- Conclusion
- References
- Appendices