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American Journal of Management

North American Business Press

Atlanta - Seattle – South Florida - Toronto

American Journal of Management

Editor Dr. Howard Miller

Editor-In-Chief Dr. David Smith

NABP EDITORIAL ADVISORY BOARD

Dr. Nusrate Aziz - MULTIMEDIA UNIVERSITY, INDIA Dr. Andy Bertsch - MINOT STATE UNIVERSITY Dr. Jacob Bikker - UTRECHT UNIVERSITY, NETHERLANDS Dr. Bill Bommer - CALIFORNIA STATE UNIVERSITY, FRESNO Dr. Michael Bond - UNIVERSITY OF ARIZONA Dr. Charles Butler - COLORADO STATE UNIVERSITY Dr. Jon Carrick - STETSON UNIVERSITY Dr. Mondher Cherif - REIMS, FRANCE Dr. Daniel Condon - DOMINICAN UNIVERSITY, CHICAGO Dr. Bahram Dadgostar - LAKEHEAD UNIVERSITY, CANADA Dr. Deborah Erdos-Knapp - KENT STATE UNIVERSITY Dr. Bruce Forster - UNIVERSITY OF NEBRASKA, KEARNEY Dr. Nancy Furlow - MARYMOUNT UNIVERSITY Dr. Mark Gershon - TEMPLE UNIVERSITY Dr. Philippe Gregoire - UNIVERSITY OF LAVAL, CANADA Dr. Donald Grunewald - IONA COLLEGE Dr. Samanthala Hettihewa - UNIVERSITY OF BALLARAT, AUSTRALIA Dr. Russell Kashian - UNIVERSITY OF WISCONSIN, WHITEWATER Dr. Jeffrey Kennedy - PALM BEACH ATLANTIC UNIVERSITY Dr. Dean Koutramanis - UNIVERSITY OF TAMPA Dr. Malek Lashgari - UNIVERSITY OF HARTFORD Dr. Priscilla Liang - CALIFORNIA STATE UNIVERSITY, CHANNEL ISLANDS Dr. Tony Matias - MATIAS AND ASSOCIATES Dr. Patti Meglich - UNIVERSITY OF NEBRASKA, OMAHA Dr. Robert Metts - UNIVERSITY OF NEVADA, RENO Dr. Adil Mouhammed - UNIVERSITY OF ILLINOIS, SPRINGFIELD Dr. Roy Pearson - COLLEGE OF WILLIAM AND MARY Dr. Veena Prabhu - CALIFORNIA STATE UNIVERSITY, LOS ANGELES Dr. Sergiy Rakhmayil - RYERSON UNIVERSITY, CANADA Dr. Fabrizio Rossi - UNIVERSITY OF CASSINO, ITALY Dr. Robert Scherer – UNIVERSITY OF DALLAS Dr. Ira Sohn - MONTCLAIR STATE UNIVERSITY Dr. Reginal Sheppard - UNIVERSITY OF NEW BRUNSWICK, CANADA Dr. Carlos Spaht - LOUISIANA STATE UNIVERSITY, SHREVEPORT Dr. Ken Thorpe - EMORY UNIVERSITY Dr. Robert Tian – SHANTOU UNIVERSITY, CHINA Dr. Calin Valsan - BISHOP'S UNIVERSITY, CANADA Dr. Anne Walsh - LA SALLE UNIVERSITY Dr. Thomas Verney - SHIPPENSBURG STATE UNIVERSITY Dr. Christopher Wright - UNIVERSITY OF ADELAIDE, AUSTRALIA

Volume 14(1) ISSN 2165-7998 Authors have granted copyright consent to allow that copies of their article may be made for personal or internal use. This does not extend to other kinds of copying, such as copying for general distribution, for advertising or promotional purposes, for creating new collective works, or for resale. Any consent for republication, other than noted, must be granted through the publisher:

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This Issue

The Role of Attachment and Mentoring in Junior Faculty’s Job Satisfaction .................................... 11 Rimjhim Banerjee-Batist Some researchers would argue that attachment styles are immutable traits whereas other researchers would be proponents of the suggestion that mentoring may actually buffer the negative impact of attachment insecurity. Although logical arguments support these assertions, empirical studies have hardly examined the possible role of attachment styles in the giving and receiving of the two broad mentoring functions - career support and psychosocial support, and its relation to job satisfaction The present study used data from a survey of 125 faculty protégés to link faculty job satisfaction with attachment styles and mentoring. While securely attached faculty protégés were found to have higher job satisfaction, high degree mentoring also was found to be positively related to increased job satisfaction. Finally, secure attachment and mentoring predicted unique variance in job satisfaction. The field of faculty mentoring research as well as practitioners in higher education developing faculty mentoring programs can use this information. Social Learning from Virtual Collaboration: A Conceptual Framework ........................................... 23 Ron Sheffield Humans adapt to different forms of learning as environments change. Human Resource Development (HRD) must grow with these changes in order to remain useful. With electronic technology ever-present in most human life, technological advances have reformulated the application of communication tools. HRD is poised to give future generations a clearer view of how learning may differ when technology is applied. This conceptual article offers a newly formed position labeled technology-enhanced social learning (TESL). This concept suggests that the basics of ‘meaning’ could form differently in a virtual setting. Workplace Incivility: What Do Targets Say About It? ......................................................................... 30 Priyanka V. Doshy, Jia Wang Every year millions of people fall prey to workplace incivility. Although current literature attempts to discuss the nature of workplace incivility, its impact, outcomes, and solutions, researchers stated that further work is required to understand this complex phenomenon. Thus, the purpose of this paper was to understand how workplace incivility is manifested in organizations and ways in which targets cope with uncivil behaviors. Findings suggest that power dynamics, perpetrators intentions and personality, and lack of organizational policies play a huge role in inhibiting workplace incivility that result in targets facing detrimental consequences. Implications for research and practice are provided. Constructing Professional Identity – The Experience of Work Based Learning Candidates ............ 43 Lynn Nichol, Sue Williams Previous research into professional identity has argued that training institutions shape professional formation. This research focuses on professionals who have undertaken a work based approach and explores the interrelationship between practitioners’ own narrative of professional identity and that encoded within the narrative of the standards of a professional HR/HRD body. The findings begin to question the traditional understanding of the inter-relationship between the narrative of the professional body and individual HR/HRD practitioner narratives of identity suggesting that neither the professional body nor the mainstream educational institution are the major players in the development of professional identity.

Union Pacific: Through Deregulation & Beyond ................................................................................... 47 Elina Ibrayeva, Terrence Sebora The case examines Union Pacific around deregulation of the railroad industry as it faced multiple crises and changed strategic course. It paints a picture of an industry shaped by environmental forces, which intersected to define Union Pacific’s competition in and with the trucking industry. It captures the industry’s sometimes-adversarial relationship to its labor unions and witnesses the transformational role played by technology. It sets the stage for the instructor to discuss regulation and labor unions – two controversial but important topics influencing business decisions – by asking the reader to consider whether the time is right to strategically reenter the trucking industry. Meeting the Challenge of Knowledge Worker Shortages with Strategic Talent Management ......... 62 Gloria Ferguson Pobst Knowledge worker shortages are well documented and worsening in many nations. This paper explores the responses of Human Resource Organization Development (HROD) professionals regarding the issue. Findings of a content analysis of the talent management literature are presented with a focus on the research question: What talent management strategies will HROD scholars/practitioners adopt to address shortages of key knowledge workers? Recommendations include a keen focus on retention and development, as well as the need for more highly trained HROD professionals with a strategic focus to manage the increasingly complex challenges. Let’s Take Another Look at Quality ....................................................................................................... 67 Barry L. Wisdom Teaching both Organizational Behavior (OB) and Operations Management (OM) for over thirty years has created an awareness of a perceived disconnect regarding the treatment of quality by these two different management disciplines. OM has been a leader in the field of quality, however, those teaching OB have been less engaged in the topic. This article discusses the different perspectives held by OB and OM; presents a conceptual model for the consideration of OB professionals; and discusses how the model might lead to a greater understanding of the role quality could play in the classroom and the workplace. The Theory and Practice of Case-in-Point Teaching of Organizational Leadership ......................... 72 Robert M. Yawson Leadership Education and Development programs at the graduate and undergraduate levels are implemented with an overall objective to prepare students for the dynamic ‘complex global working’ environment. Case-In-Point teaching in leadership education is an emerging pedagogy that is gaining ascendancy and relevance both in theory and practice. The pedagogy is predicated on the conception that leadership is a function of self-awareness and knowing oneself, ability to articulate one’s vision, capacity to create a community of trust among colleagues, and the ability to take effective action to realize one’s own potential; and that linear epistemology as a dominant and prevailing epistemology in leadership education can no longer be the dominant epistemology. This paper discusses how Case-In-Point Pedagogy can be used in teaching organizational leadership. The discussions are based on Ron Heifetz’ Case-In-Point Pedagogy as situated in the realist ontological frameworks of teaching leadership outlined in Sharon Parks’ Leadership Can Be Taught. The paper takes a look at the epistemological and conceptual framework of the Case-In-Point Pedagogy, the theory and practice of Case-In-Point Teaching, and how it could be incorporated into leadership courses. The themes and issues related to the adoption and use of Case-In-Point are outlined.

New Leader Agendas & Legacy Organizational Culture: A Case Study Exploring Learning’s Role in Bridging the Great Divide ..................................................................... 82 David A. Rude The learning community has a vested interest in bridging the divide between leadership and culture. Leaders must be attuned to cultural dynamics. Culture is replete with complexities that can hinder new leaders. Learning can help inform and influence how leaders instill cultural changes that may be necessary. This case study of a public sector organization revealed two overarching themes relevant to learning: culture change takes time and must be communicated with care to alleviate stress; and culture change must consider affective elements. Given these findings, a new perspective of culture emerges. Implications for learning scholars and practitioners are presented. An Integrative Trust Model in the Coaching Context ......................................................................... 102 Jovana Markovic, Jean M. McAtavey, Priva Fischweicher This paper presents a conceptualization of trust in the coaching context. Despite the vast presence of prescriptive literature, research exploring the process of coaching is minimal. In order to achieve coaching outcomes trust must be established; however the role of trust in the coaching relationship seems to be implicitly understood and remains unexplored. In light of the gap in knowledge, this paper focused on trustworthiness factors that contribute to trust development in the coaching relationship and introduced a trust model based on three critical factors for trust development: ability, benevolence, and integrity. The model could be utilized by coaching professionals in order to effectively develop, promote, and sustain clients’ trust. The paper also presents a practical application of the model. Cultural Differences in Organizational Commitment ......................................................................... 111 Noor Rahmani This study investigates predictors of organizational commitment i.e. allocentrics, procedural justice and servant leadership based on the moderating effect of work meaning. A survey of 195 employees of a state owned hotel in Yogyakarta, Indonesia was analyzed using the Structural Equation Modeling. Result indicated that allocentrics and procedural justice positively predicted organizational commitment while servant leadership had no effect on organizational commitment. Result were explained in terms of cultural differences, particularly the opposite result of the relationship between allocentrics and organizational commitment, compare to its counterpart in the west, and the similar result of the relationship between procedural justice – which is a western value – and organizational commitment.

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The Role of Attachment and Mentoring in Junior Faculty’s Job Satisfaction

Rimjhim Banerjee-Batist University of Florida, Santa Fe College

Some researchers would argue that attachment styles are immutable traits whereas other researchers would be proponents of the suggestion that mentoring may actually buffer the negative impact of attachment insecurity. Although logical arguments support these assertions, empirical studies have hardly examined the possible role of attachment styles in the giving and receiving of the two broad mentoring functions - career support and psychosocial support, and its relation to job satisfaction The present study used data from a survey of 125 faculty protégés to link faculty job satisfaction with attachment styles and mentoring. While securely attached faculty protégés were found to have higher job satisfaction, high degree mentoring also was found to be positively related to increased job satisfaction. Finally, secure attachment and mentoring predicted unique variance in job satisfaction. The field of faculty mentoring research as well as practitioners in higher education developing faculty mentoring programs can use this information. INTRODUCTION

Mentoring is defined as a dyadic relationship where psychosocial support and career support are the functions provided by the mentor to the protégé (Kram, 1996). Mentoring is recognized as a powerful human resource development (HRD) tool that assists in career advancement, and promotes many affective outcomes; one of them being job satisfaction (Aremu & Adeyoju, 2003; Chao, Walz, & Gardner, 2006). As newly hired faculty members advance their careers by teaching, scholarship, and service (Zeind, Zdanowicz, MacDonald, Parkhurst, King, & Wizwer, 2005), they also experience isolation at work, less satisfaction with their jobs, high stress, and produce less research (Cawyer, Simonds, & Davis, 2002; Olsen, 1993; Paul, Stein, Ottenbacher, & Liu, 2002). Junior faculty members benefit from mentoring by experiencing job satisfaction (Benson, Morahan, Sachdeva, & Richman, 2002) as they learn the ropes of academe (Bland, Center, Finstad, Risbey, & Staples, 2005; Steiner, Curtis, Lanphear, Vu, & Main, 2004).

Universities spend resources on formal faculty mentoring programs assuming that a supportive setting is crucial to success in academe (Hodges & Poteet, 1992). However, not all mentoring relationships produce favorable outcomes (Eby & McManus, 2004). Moreover, because formal mentoring programs are structured and coordinated interventions within an organization’s human resource policies, it makes sense for program planners to match mentors and protégés well, and minimize potential problems (Ehrich, Hansford, & Tennent, 2004). Because academic departments cannot dictate faculty to trust and like each other, sometimes they may fail in their efforts by trying to control the personal chemistry that is so vital to developing rewarding mentoring relationships (Feldman, 1999). The characteristics of two people in a relationship influence the extent and quality of their interactions between each other (Gormley, 2008). Since mentoring relationships are essentially developmental in nature, involving emotional bonding and

American Journal of Management vol. 14(1-2) 2014 11

close interpersonal relations; a look at mentoring through the lens of attachment theory is warranted (Germain, 2011; Scandura & Pellegrini, 2004). Attachment theory contributes to the understanding of socio-emotional functioning and attachment style defines one’s ability to form and manage close relationships (Hazan & Shaver, 1990, 1994). Adults with secure attachment styles have a sense of worthiness and an expectation that other people are generally accepting and responsive to their support-seeking endeavors (Bartholomew and Horowitz, 1991), whereas adults with insecure attachment (avoidant, and anxious/ambivalent) are less satisfied with work relationships (Hazan & Shaver, 1990).

The problem remains in faculty mentoring research as to why certain mentoring relationships produce favorable outcomes and why certain individuals are predisposed to mentoring. Since few studies have explored attachment styles, mentoring relationships, and mentoring outcomes (Bernier, Larouse, & Soucy, 2005; Larose, Bernier, & Soucy, 2004); there is a lack of understanding of the relationships among these variables for junior faculty at the beginning of their academic career. Understanding faculty mentoring should be important to HRD professionals because mentoring is a key tool for universities to attract and retain faculty.

This study sought to answer the question: What are the relationships among faculty protégés' attachment styles, mentoring, and job satisfaction? We examined the relationships among attachment styles, mentoring, and job satisfaction of faculty protégés by testing the following hypotheses:

H1: Faculty protégé attachment styles are related to their job satisfaction. H2: Mentoring (i.e., degree of career and psychosocial support from mentor) is related to

faculty protégé job satisfaction. H3: After controlling for gender, and ethnicity, protégé attachment styles and mentoring

(i.e., degree of career and psychosocial support from mentor) significantly predict job satisfaction.

LITERATURE REVIEW Mentoring

Mentoring is traditionally defined as developmental support offered to a junior employee (protégé) by a mentor who is typically someone more senior and experienced in the organization (Kram, 1983, 1985). The definition of mentoring has evolved considerably from the face-to-face, traditional, dyadic, hierarchical relationship to other formats (Scandura & Pellegrini, 2007) such as e-mentoring sustained through the electronic medium (Hamilton & Scandura, 2003), team and peer mentoring, where the team leader mentors members and team members mentor each other (Williams, 2000) and bidirectional mentoring, where the interaction is two-way, mutual, and reciprocal whereby the mentor and protégé both benefit (D’Abate, Eddy, & Tannenbaum, 2003).

There are two major forms of mentoring – formal and informal, both of which are beneficial to the mentor and the protégé (Packard, Walsh, & Seidenberg, 2004; Ragins & Cotton, 1999; Sosik & Godshalk, 2000), and the intent of both are career and psychosocial development (Kram, 1983, 1985). Formal mentoring programs match individuals as part of an organized, facilitated employee development program (Eby & Lockwood, 2005; Wanberg, Kammeyer-Mueller, & Marchese, 2006), while mentors and protégés seek out each other spontaneously in informal mentoring (Chao, Walz, & Gardner, 2006; Ragins & Cotton, 1999).

The present study is focused on formal mentoring involving faculty in higher education because in spite of its popularity, not much is known about formal mentoring programs (Raabe & Beehr, 2003; Ragins, Cotton, & Miller, 2000; Scandura, 1998). Moreover, compared to the corporate world, fewer institutions of higher education have formal mentoring programs for faculty development. Only about a quarter of U.S. universities have formal faculty mentoring programs, while most new faculty are expected to seek out mentors informally (Brent & Felder, 2000). This may not always work out because the time spent by new faculty to come across the right mentor may add to their already high stress levels of meeting the demands of the new job and learning the ropes of the organization. New faculty typically do

12 American Journal of Management vol. 14(1-2) 2014

not have enough time, receive inadequate feedback and recognition, often set unrealistic self-expectations, experience lack of collegiality, and find hard to strike a work-life balance. All these factors sometimes lead to low scholarly productivity, and ineffective teaching (Sorcinelli, 1994) that may cause burnout and turnover. Additionally, women faculty or faculty who come from underrepresented groups has difficulty finding mentors informally because of the general unavailability of mentors from those groups. A mentor can help a new faculty member assimilate into academe, offer assistance on initiation in research and teaching activities, and serve as a supporter in the tenure and promotion process (Brent & Felder, 2000; Paul, Stein, Ottenbacher, & Liu, 2002). In order for new faculty to become productive in the academic community within their first couple of years, academic departments should be proactive in helping them through formal faculty mentoring programs rather than allowing their development to proceed entirely by trial and error (Boice, 1992). University of Vermont, Marquette University, University of California, Northern Illinois University, New York University, University of Kansas, are some of the universities that have implemented formal faculty mentoring programs. Mentoring has shown to have positive outcomes for junior faculty in formal mentoring programs by facilitating organizational socialization, and research productivity (Cawyer, Simonds, & Davis, 2002; Paul, Stein, Ottenbacher, & Liu, 2002). A review of 39 studies of mentoring in academic medicine revealed mentorship having an important influence on research productivity, personal development, career guidance, and career choice of junior faculty (Sambunjak, Straus, & Marusic, 2006).

Majority of the research on mentoring over the last two decades has involved itself with theory development, benefits of mentoring from both the mentors’ and the protégés perspectives, barriers to the establishment of mentoring relationships, and various kinds of socio-cultural and individual differences of mentors and protégés (Noe, Greenberger, & Wang, 2002). The following section lays out attachment theory and its possible role in mentoring relationship.

Attachment Theory

Attachment theory is concerned with the nature of close emotional bonds or attachments that are developed early in life and how these unique intimate relationships affect the course of life (Bowlby, 1988). One of the basic tenets of attachment theory is that an individual’s early attachment experiences are internalized over time through the development of internal working models of attachment (Bowlby, 1988). Infants explore their environment with an assurance in their mind about the availability of their secure base, also called their attachment figure. When they find certain stimuli to be frightening, they are more prone to activate attachment behavior. Because of communication between the mother and the child, some parts of the child’s developing personality maybe nurtured while some others may be ignored and may go out of synchrony with the parts that are being nurtured. The child’s confidence in the stability of this partnership enables him or her to internalize the working model of his or her relationship with the mother. This association of a control system with attachment theory and its connections with internal working models are regarded as primary features of personality functioning all through life.

Current theory and research on adult attachment draw heavily on Bowlby’s (1988) concept of attachment representations or working models. Working models are mental representations of the self and others, which guide how people regulate emotion, and process information in close relationships such as with partner, spouse, teacher, a foster-mother, therapist etc. (Bowlby, 1988). These models guide behaviors and influence expectations and strategies in adult relationships (Bretherton, 1985).

Attachment security in adults is associated with empathy, self-disclosure, conflict resolution skills (Corcoran & Mallinckrodt, 2000; Doverspike et al, 1997; Hazan & Shaver, 1990), constructive coping with stress, and social support (Anders & Tucker, 2000). Ryan and Deci (2000) suggested that attachments to others facilitated autonomy. Individuals with secure attachment styles know that acknowledgement of stress elicits supportive responses from others and turning to them is an effective route to enhanced coping. Attachment has also been linked with curiosity and exploratory behavior that help individuals flexibly adapt to changing environmental conditions (Elliot & Reis, 2003; Reio, Petrosko, Wiswell, & Thongsukmag, 2006).


Based on associations between attachment styles and several adult developmental outcomes, Hazan and Shaver (1990) were the first to theorize that adult work activity can be considered as functionally analogous to exploration. Adults consider work a main source of actual and perceived competence similar to play and exploration in early childhood. Hirschi's social control theory (1969) views attachment as global, and a property of an individual's emotional bonds to society and institutions, for example to organizations. In career development research, Blustein et. al. (1995) presented a strong theoretical explanation of the reasons why the experience of felt security provided by secure attachment relationships should enable (a) exploration of the self and environment, and (b) development through career decision making and commitment processes. They indicated that taking up a new position involves risks and challenges similar to early phases of career development and infant development. One of the main characteristics of progress in career decision making is readiness to explore the environment, and self-efficacy is proposed to assist in pursuing such exploration.

In a survey of over 1000 participants by Hazan and Shaver (1990), secure respondents reported higher overall job satisfaction, felt that they were valuable workers, and were confident that co-workers evaluated them highly. Anxious/ambivalent respondents expected co-workers to undervalue them, and avoidant respondents gave themselves lower ratings on job performance and expected similar ratings from co-workers too. Several studies followed the footsteps of Hazan and Shaver (1990) linking attachment theory with behaviors at work which indicated that securely attached employees showed more resilience (Klohnen & Bera, 1998), higher self-esteem (Meyers, 1998), and had stronger coping mechanisms to deal with stress than those with insecure styles (Caldwell, 1994). Securely attached adults were more socially competent (Caldwell, 1994), were likely to use collaborative communication (Kummel, 1998), and were more receptive and appreciative of negative interpersonal feedback (Neuson, 1998). They reported higher levels of personal competence than insecurely attached adults (Meyers, 1998) and yet focused more on relationships than tasks (Doverspike, Hollis, Justice, & Polomsky, 1997). Therefore, secure attachment could be seen as an anchor for relationship competence and social competence.

Attachment and Mentoring

Attachment theory helps explain why individuals who do not form secure attachments during early life are inclined to struggle in comprehending and preserving their adult relationships (Rholes, Simpson, & Stevens, 1998). Because mentoring is an adult relationship forged at work to promote career development, it appears that early life social experiences could play a significant role in mentoring relationships. Unless a person’s internal working model underwent transformation due to changing conditions, the same model that was developed as a result of early life social experiences would continue to impact his or her mentoring relationship. By focusing on attachment theory, we may be able to better understand the interpersonal nature of a mentor-protégé relationship (Kummel, 1998). Among individual differences studied in mentoring research, attachment styles could be a very significant one because such a linkage could better explain why and when there will be positive or negative outcomes in mentoring relationships and therefore, better inform the process of mentor-protégé pairing in mentoring programs (Armstrong, Allinson, & Hayes, 2002).

Empirical findings from mentoring research conducted with young adults in college, and conceptualizations from youth mentoring suggest relationships between attachment styles and mentor-protégé experiences (Bernier, Larose & Soucy, 2005; DuBois & Karcher, 2005; Larose & Bernier, 2001). Because mentoring involves interpersonal relationships, it is not surprising that studies have found attachment security influencing mentoring. Protégés with insecure attachment styles had difficulties in establishing relationships with mentors. Specifically, individuals presenting high dismissing attachment tendencies reported difficulties in seeking help from college mentors and had low levels of trust in potential supporters (Larose & Bernier, 2001). Further, in a study of 102 college students who were mentored by 10 faculty mentors, both dismissing and preoccupied attachment styles of the protégés were associated with negative evaluations of mentoring relationship and lower perceptions of security in mentoring (Larose, Bernier, & Soucy, 2004). In another landmark study involving 90 students and 10


faculty mentors, Bernier, Larose and Soucy (2005) examined the influence of mentor and protégé attachment styles on protégés’ comfort with self-disclosure and proximity. Self-disclosure is an important component of developing relationships as part of the mentoring process where individuals share information about their experiences (Rocco, 2004). The researchers found that contrasting attachment styles interacted to predict protégés’ self-disclosure and comfort with proximity, and their satisfaction with mentoring. For students with Preoccupied attachment styles, higher the level of preoccupation, professor avoidance predicted higher student self-disclosure (professor report; β = .05, p < .05). For students expressing low levels of preoccupation, professor avoidance predicted lower student comfort with proximity (professor report; β = -.40, p < .05). On the other hand, for students with Dismissive attachment styles, higher the level of dismissiveness, professor ambivalence predicted higher student comfort with proximity (student report; β = .34, p < .05). The findings of this study suggest that a mentor was most effective when the protégé was provided with a relational stance that was in contrast with the protégé’s own. Therefore, people with preoccupied attachment styles could benefit from working with an independence-oriented yet interpersonally competent person. In contrast, an individual who had difficulty developing close relationships might benefit from working with an interpersonally competent person who was comfortable with intimacy.

Attachment theorists assert that a person’s internal working model which has been shaped by early social experiences is so immutable that it influences the ability of the person in forming close relationships. Dominant focus on attachment styles as traits has led to a relative neglect of the way that current relationship patterns continue to influence personality and internal working models (Kobak, 1994; Levitt, 2005; Lewis, 1997). Hazan and Shaver (1987, 1990) provide a way of thinking about how adult attachment relationships develop, the functions that they would normally serve, and security of relationships.

The field of mentoring has had a stream of development over the past two decades that included theory development, research on organizational outcomes, and diversity issues (Scandura & Pellegrini, 2007). Though empirical research and conceptual frameworks in the literature establish links between attachment and mentoring, and links between mentoring and organizational outcomes such as job satisfaction, this review did not find any empirical studies that examined the relationships between mentoring, attachment, and organizational outcomes. Scandura and Pellegrini (2004) are the only researchers who conceptualized a model that proposed a typology of mentoring relationships (functional, marginal, dysfunctional, and marginal-dysfunctional) based on attachment styles, and linked it to organizational outcomes. The present study, by bringing in attachment theory, attempts to fill in a gap in the mentoring research and practice area, specifically related to job satisfaction, and thus provides a solid base for future research.

METHOD Procedure and Participants

This quantitative study used a cross-sectional and correlational design. The target population of interest for this study is faculty members who are protégés in formal faculty mentoring programs. The available population of 125 protégés was junior faculty in a formal faculty mentoring program at a university in the United States. Although this is a convenience sample with considerable demographic homogeneity, the participants were members of the target population of protégés. The population was secured by obtaining a buy-in from the program director of the faculty mentoring program, who also served as the mediator during data collection. This option was appropriate in order to maintain the confidentiality of data required for the study. A survey was set up on SurveyMonkey for data collection. Because surveys are commonly used for time and cost efficiencies, Dillman’s (2007) Tailored Design Method (TDM) was used. Following the recommendations of the method, the survey content was reviewed by experts in the field, and a small pilot study was conducted. The entire available population was surveyed in order for the study to have sufficient power


The sample consisted of 50 proteges representing 40% of the total protégé population. Seventy percent (n = 35) of the protégé sample was female and 30% (n = 15) of the sample was male. A frequency analysis of protégé age indicated that 4% (n = 2) of the respondents reported belonging to the 21-29 group, 36% (n = 18) to the 30-39 group, 54% (n = 27) to the 40-49 group, and finally 6% (n = 3) to the 50-59 group. A frequency analysis of protégé ethnicity indicated that 84% (n = 42) of the respondents were White, 6% (n = 3) African American, 4% (n = 2) Hispanic, 4% (n = 2) Asian, and 2% (n = 1) selected “other.” No protégé respondent indicated affiliation with an American Indian or Alaskan native ethnicity. A frequency analysis of the proteges’ number of years of employment in the current academic unit indicated that 50% (n = 25) were employed less than a year, 24% (n = 24) were employed between 1 to 5 years, 2% (n = 1) were employed between 5 to 10 years.

Measures

Demographic data of the participants regarding gender, ethnicity, age, and tenure status in the university was collected. Attachment style was measured through Hazan and Shaver’s (1990) Adult Attachment Style (AAS). In this self-report measure, participants read descriptions of secure, avoidant, and anxious/ambivalent attachment styles, and indicate the one that best describes how they feel in intimate relationships.

Mentoring was measured through Noe's (1988a) Mentoring Functions Scale. It has 21 items that were developed on the basis of career and psychosocial functions identified in previous studies of mentoring relationships through qualitative and descriptive analyses (Burke, 1984; Kram, 1983, 1985; Kram & Isabella, 1985; Roche, 1979; Zey, 1984). Responses to items are provided on 1 to 5 scales (e.g., 1=“from a very slight extent” to 5=“to a very large extent”). Responses are summed and the average score for each subscale is used for the analyses. Two separate scores are formed reflecting Kram’s (1985) career mentoring (including sponsorship, coaching, protection, challenge, and exposure items) and psychosocial (including friendship, role modeling, counseling, and acceptance items) mentoring.

Job satisfaction was measured by Spector’s (1997) Job Satisfaction Scale (JSS). The JSS is a 36-item scale and responses are provided on a 6-point Likert-type agreement scale to measure employee attitudes about their job and aspects of their job (1 = disagree very much, 2= disagree moderately, 3 = disagree slightly, 4 = agree slightly, 5 = agree moderately, 6 = agree very much). The nine facets of the scale are pay, promotion, supervision, fringe benefits, contingent rewards (performance based rewards), operating procedures (required rules and procedures), coworkers, nature of work, and communication. There are four items in each subscale. The JSS is scored by the sum of the scores of all the 36 items. The total score can range from 36 to 216. Because the items are combined, the scoring for negatively worded items is reversed. To reverse the scoring, negatively worded responses are renumbered from 6 to 1 rather than 1 to 6.

Additionally, the last part of the survey asked three open-ended questions to capture the perceptions of the participants regarding their mentoring relationships. Responses to these questions were intended to possibly augment the quantitative findings.

RESULTS

Cross tabulation analyses of the demographic variables of 50 proteges were examined for meaningful relationships using inferential statistics. The results of the chi-square tests did not indicate statistically significant differences between distributions of each sample variable.

AAS scores for the protégés indicated that 58% (n = 29) were secure, 38% (n = 19) were avoidant, and 4% (n = 2) were anxious/ambivalent. Relative proportions of secure and insecure attachment types among the protégés were roughly consistent with those found in previous research (e.g., Hazan & Shaver, 1990). Zero-order correlations revealed that secure attachment was positively correlated with job satisfaction (r = .70, p < .01), suggesting a large effect size (Cohen, 1988) and providing empirical support for H1.


Zero-order correlations further revealed that career support was positively correlated with protégé job satisfaction (r = .57, p < .01) and psychosocial support was positively correlated with protégé job satisfaction (r =.62, p < .01). Results suggested a strong relation (Cohen, 1988) between protégé job satisfaction and mentoring, lending empirical support to H2.

Hierarchical regression analyses were performed to test H3 that stated after controlling for gender, and ethnicity, protégé attachment styles and mentoring (i.e., degree of career and psychosocial support received by protégé) significantly predict job satisfaction. Guided by theory and empirical research, variables were loaded into the regression equation by steps (Cohen & Cohen, 1983). Gender and ethnicity were loaded as variables in the first step to serve as statistical controls. Protégé attachment style as measured by the AAS was loaded into the second step. Mentoring (career support and psychosocial support) received by protégé were loaded into the third step. Standardized beta weights (β) and cumulative R2 were computed. Results of hierarchical regression analysis on job satisfaction are provided in Table 1.

TABLE 1 SUMMARY HIERARCHICAL REGRESSION ANALYSIS WITH GENDER, ETHNICITY,

ATTACHMENT STYLE (AAS), AND MENTORING PREDICTING PROTÉGÉ JOB SATISFACTION

Variable Job Satisfaction

β R R2 Sig F Change Step 1 Gender -.002 Ethnicity -.11 Block .11 .01 .744 Step 2 Attachment style .75*** Block .74 .55 .000 Step 3 Psychosocial mentoring .30* Career mentoring .09 Block .78 .65 .040 Total adjusted R2 .56 Note. *p < .05; *** p < .001.

Supporting H3, each of the predictor variables predicted incremental variance in job satisfaction after

statistical control for the influences of the demographic variables. The demographic variables (gender and ethnicity), entered as a block in the first step in the regression, did not reach statistical significance. In the second step of the analysis, the attachment style variable was a significant positive and unique predictor of job satisfaction, R2 = .55, p < .001, F(3,46) = 18.87. Further, in the third step of the regression, mentoring, specifically psychosocial mentoring (β = .30, p < .05) made a unique statistically positive contribution to predict job satisfaction, R2 = .65, p < .001, F(5,44) = 13.94. Overall, the regression model explained 56.0% of the variance in protégé job satisfaction (large effect size; Cohen, 1988). Each VIF value was less than 3.25, providing no evidence of multicollinearity. VIF values more than 10 and tolerance values approaching 0 are considered as indicating multicollinearity (Green, 1991). Using attachment scores from the AAS, results from the analysis suggest that protégés with secure attachment styles receiving higher level of psychosocial mentoring are likely to be more satisfied with their jobs.

Responses to the three open-ended questions were downloaded into Excel. Responses were coded by looking at the patterns or commonly occurring themes. About 30% (n = 15) of the protégés responded to the open-ended questions. The first question was “What is your overall feeling about the effectiveness of participating in this mentoring program?” Almost all rated the program well, citing how much valuable


guidance they received from their mentors for the tenure process, and navigate their way through the university as brand new junior faculty. Some, however, cited lack of time and lack of monetary incentive for mentors as barriers to the effectiveness of the program. The second question was “What are the areas where you benefitted most from your mentor?” Responses encompassed both the psychosocial and the career support aspects of mentoring. Some cited the trust, friendship, and help they received from their mentors in navigating through difficult personal situations, and advice they received regarding the tenure process as well as maintaining a work-life balance. Others referred to collaborative professional activities like presenting, writing, and teaching. The third question was “What are some of the biggest challenges you have faced in the mentoring relationship?” The predominant theme in the responses was lack of time and busy schedules contributing to less interaction than desirable. Some protégés referred to their mentors as difficult people, or cited their “own reluctance to burden others.” Some seemed to lack rapport and trust with their mentors and were hesitant to discuss personal issues with them in the fear that such things will be “divulged to the department chair.” Overall, protégés seemed to benefit from the mentoring program, and wished they and their mentors had more time to devote to the relationships.

The quantitative result and the qualitative results coincide. Protégés in their open-ended responses clearly indicated the receipt of psychosocial support in the form of trust, friendship, advice, and help from their mentors, and the same result was clearly evident in the quantitative analysis too.

DISCUSSION

The results were consistent with Hazan and Shaver’s (1990) pioneering research on attachment and work behaviors where secure respondents reported higher overall job satisfaction, felt that they were valuable workers, and were confident that co-workers evaluated them highly. Moreover, van Ecke (2007) linked secure attachment style to lower career thought dysfunction that was found to be related to higher levels of job satisfaction (Judge & Locke, 1993). To generalize the findings of this study and better inform the planners of formal faculty mentoring programs, it is important to replicate this study in junior faculty mentoring programs in other universities because none of the prior studies that examined attachment style in relation to job satisfaction (Krausz, Bizman, & Braslavsky, 2001; Sumer & Knight, 2001; Toepfer, 1996) were carried out among university faculty. Academic departments in universities in their efforts to nurture, promote, and retain promising junior faculty, could select protégés with secure attachment styles to augment their job satisfaction levels.

The present study informs faculty mentoring program planners at the institutional level that protégés perceiving higher degree of career support and psychosocial support had higher levels of job satisfaction. Prior studies showing such evidence have mostly been in the discipline of academic medicine (Benson, Morahan, Sachdeva, & Richman, 2002; Bland, Center, Finstad, Risbey, & Staples, 2005; Pololi, Knight, Dennis, & Frankel, 2002; Steiner, Curtis, Lanphear, Vu, & Main, 2004). Administrators at the institutional level can use this study’s findings to begin structuring formal faculty mentoring programs.

Results from the present study also showed that faculty protégés with secure attachment styles, and receiving higher level of psychosocial mentoring are likely to be more satisfied with their jobs. This study is one of the first to examine attachment styles together with mentoring in the prediction of protégés’ job satisfaction. However, this particular aspect of the aforementioned finding regarding the positive role of mentoring in job satisfaction converges with prior research where protégés reported personal development, career and job satisfaction (Fagenson, 1989; Kammeyer-Mueller & Marchese, 2006; Larose, Tarabulsy & Cyrenne, 2005; Wanberg, Kammeyer-Mueller & Marchese, 2006).

HRD practitioners are informed through this study about the importance of developing interpersonal competencies of protégés that could improve the receiving of psychosocial support, such as listening skills and accepting feedback. They can use the mentor-protégé attachment style pairing guide presented in Germain’s (2011) proposal to inform the matching process while setting up formal mentoring programs.

Attachment theory and research originally pertained to infants and young children. In the 1980s, the theory was extended to adults. In the last decade, the theory has been applied to adults in the workplace.


With a growing literature investigating attachment styles as it relates to job satisfaction (Hazan & Shaver, 1990), career development (Blustein, Prezioso, & Schultheiss, 1995), transformational leadership (Popper, Mayseless, & Castelnovo, 2000), and work versus family concerns (Summer & Knight, 2001), there seems to be a clear need in the field of HRD to explore the link between attachment styles and mentoring relationships. This study adds to the HRD literature base that has extended attachment theory to adults in the workplace.

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Social Learning from Virtual Collaboration: A Conceptual Framework

Ron Sheffield The George Washington University

Humans adapt to different forms of learning as environments change. Human Resource Development (HRD) must grow with these changes in order to remain useful. With electronic technology ever-present in most human life, technological advances have reformulated the application of communication tools. HRD is poised to give future generations a clearer view of how learning may differ when technology is applied. This conceptual article offers a newly formed position labeled technology-enhanced social learning (TESL). This concept suggests that the basics of ‘meaning’ could form differently in a virtual setting. INTRODUCTION

According to Bennett (2010), technology plays a critical role and is essential in the evolution of Virtual Human Resource Development (VHRD). This critical building block is profound yet permeable as Bennett describes technology as offering, “greater speed, efficiency, and connection across space and time” (p. 730). However, she adequately points out that this critical element can often be seen as “cold and insensitive” when compared to the “richness of the human element” (p. 730). Understanding how adults learn in a virtual setting is critical for the field of HRD. As Bennett and Bell (2010) suggested, understanding how we learn in this setting may even be more critical today, based on increased economic drivers. In order to move toward a greater understanding of learning in the virtual setting, this paper offers a new conceptual model.

Based on work from Lois Holzman’s interpretations of Vygotsky’s ‘zone of proximal development’ (ZPD) (Holzman, 2006) and Derrick Cogburn’s work on collaboration, I present a newly focused complimentary perspective on social learning construction through the use of technology. This framework is proposed by extending Holzman’s ‘collective activity’ through partially utilizing Cogburn’s research on virtual team creation in South Africa (Cogburn, 2008). In support of this conceptual proposal it is important to note that according to Ardichvili (2008), the “transfer of knowledge across cultural boundaries creates additional challenges for collaborative learning in multinational and global organizations” (p. 546). The result is a conceptual model referred to as ‘technology-enhanced social learning’ (TESL). Theoretical Underpinnings

The foundational theories used to form this model stem from the lens of Lave and Wenger’s ‘communities of practice’ (COP) (1998), Vygotsky’s ‘zone of proximal development’ (1978), and Cogburn’s collective work on virtual collaboratories (2008). Lave and Wenger used more than the community of practice to understand the social theory of learning. Their ideas on learning involved the


holistic body of social learning as interconnected. As referenced in Figure 1, the social theory of learning expresses multiple points of interaction between learning and the environment.

FIGURE 1 REPRESENTATION OF WENGER’S SOCIAL LEARNING THEORY

Wenger (1998) defined these components of social learning as an initial inventory. From this inventory, he surmised meaning, practice, community, and identity as the social learning components necessary. He suggested that communities of practice are always present and learning takes place constantly. The virtual setting is at many times socially constructed and often requires effort to establish in many organizations. These settings are not always required to formally deliver activities and instead can serve to be true collaboratories. In these settings, learning is constant and situated as a way of daily life as suggested by Wenger (1998) as an ingredient to be involved in communities of practice. Further analysis of Wenger’s model is required to more fully explain TESL.

In addition to Lave and Wenger’s (1998) COP, Vygotsky’s zone of proximal development is also used to form the foundation of TESL. ZPD is formed within the boundaries of the cultural historical development theory (CHDT) developed by Vygostky (1978) which suggests that social interaction leads to the development of an individual’s consciousness and cognition. Vygotsky (1978) proclaimed that human development is a collective learning process formed through thinking, language and symbols that promote higher learning. He suggested that within this theory people learn as they participate in social settings. Vygotsky synthesized his theory within his genetic law of cultural development by stating:

any function in the child’s cultural development appears twice, or on two planes. First it appears on the social plane, and then on the psychological plane. First it appears between people as an interpsychological category, and then within the child as an intrapsychological category (Vygotsky, 1978, cited in Wertsch, 1990, p. 113).


ZPD exists, according to Vygotsky (1978), within the cultural development theory and is defined as spaces are emergently created to mediate learning and development processes (Moll, 1990). According to Holzman (2006), ZPD measures both fully developed functions and those that are in a state of maturing into individual learning. Through the postmodernist lens of Holzman (2006), this perspective promotes a progressive conversation where individuals can impact both social and historical contradictions through collective action. In this worldview, Vygotsky’s ZPD serves as an instrument for learning and promotes individual action to a collective activity (Holzman, 2006). Framework Focus

The focus of this theoretical framework lies within the boundary of the ‘community’ identified within Figure 1. To further define the a virtual setting appropriately or virtual community of practice (VCoP) (Von Wartburg, Rost, & Teichert, 2006), Ardichvili (2008) described the setting as, “virtual teams are usually created by organizations to achieve specific performance goals, VCoPs are organized around community members’ common interests, but, as a rule, are not working toward achieving specific performance goals” (p. 542). This conceptual work does not prescribe to define the difference between a formal performance goal setting or common interest setting. However, this framework does suggest that learning is individually- based and learning can take place in lieu of the setting focused on formalized goals. Wenger (1998) suggested that the communities of practice perspective on learning is individually based (Wenger, 1998) while Vygotsky’s zone of proximal development (ZPD) was structured on interactions between individuals as they receive help from one another (Holzman, 2006).

Vygotsky’s ZPD presented learning from an internal framework and is formed based upon interactions with others (Wertsch, 1996). He described the basic idea of speech as an internal function within a human that later becomes solidified due to the interaction with other people (1996). This connection with the social setting or community points to Wenger’s communities of practice (COP) and folds into social learning the foundation of collaborator- based social interaction. Interaction in the collaboratory is virtual and separated by distance while utilizing the human voice as the pronounced form of communication.

Work by Cogburn (2008) during virtual team collaboration in South Africa presented at least two major advantages over face-to-face communication. These advantages were noted as 1) learning how to communicate with teammates that were geographically dispersed, and 2) learning about the advantages of technology in the work setting (2008). These advantages, when coupled with Vygotsky’s ZPD, hold common ideas of constructed ways of knowing. By using Crotty’s (1998) epistemological perceptive of constructionism, whereby meaning is constructed through interaction between subject and object, this framework assumes that meaning will be created through interaction by way of technology. Through this perspective, according to Crotty (1998), meaning is not discovered, rather is constructed and in this perspective the object-subject forms a relationship which come together to form meaning. Community connects the individuals as both helpful singular and collective entities. The entities form communities of practice among their respective collectives and in parallel to other groups with similar settings. This setting produces a new social learning construction that is independent of face-to-face interaction. PROPOSED CONCEPTUAL FRAMEWORK

The proposed framework for TESL builds a bridge between the collaborator and virtual social interaction. This measurement is currently unknown and based on the level of social interaction; learning can be determined by pre and post interviews. The TESL model, as illustrated in Figure 2, builds upon Vygotsky’s assertion that what one can learn by herself is different than one can learn with others (Holzman, 2006). This basic tenet suggests that interaction plays a part in learning. Virtual interaction is not identical to face-to-face interaction and, as such, Ardichvili (2008) correctly pointed out “the technology, used in VCoPs, should be treated not just as a tool, but also as an important influence on community’s identity, character, and patterns of behavior” (p. 549). The technology connecting the social


interaction together becomes its very lifeline for the community that has formed. These critical factors replace the social setting to reflect an entirely different community from which to operate and learn.

FIGURE 2 TECHNOLOGY ENHANCED SOCIAL LEARNING THEORY (TESL)

Figure 2: Adapted from Wenger (1998) and Vygotsky (1978)

Virtual settings are no longer new environments for many organizations. However, the idea of learning from within these settings is still in its infancy. For example, speaking over the telephone has recently been examined for learning, understanding, and even group feelings (Aborisade, 2012; Heilmann, 2012). The implications of this new lens of TESL brings about several different concepts of learning and more importantly new ideas for practice on social learning construction.

According to Mezirow (2006), learning, specifically communicative learning, relates to understanding what someone means when they communicate with the intended receiver. TESL presents a new contextual perspective of learning that is established entirely within the virtual world of communications. Beyond verbal inflection, the receiver has very little information from which to form the social learning environment.

I suggest that social learning construction is different between face-to-face and virtual collaboration based upon the communication setting and that learning is greatly impacted by the influence of ZPD. Based on this suggestion, it is possible to imply that the human experience of social learning could be very different and even require a more postmodern lens to grasp the idea of social learning based upon the lack of human face-to-face interaction.


Theory Vygotsky’s ZPD presents an unusual situation for the virtual setting. Holzman notes that Vygotsky’s

work on gestures in the social setting give meaning to the act (Daniels, 1996). This is complex within the virtual social setting due to the lack of human face-to-face connection. Unless the virtual collaboration is video based, witnessed gestures are no longer discernible behavior markers. ZPD provides more perspectives from Vygostky that suggests that the acts of one person can change based on the acts of another person’s help (Holzman, 2006). This is where TESL makes a solid and qualitative connection. The act of help does not need to be physically delivered between individuals and may virtually be cognitively accomplished. Connecting to Wenger’s communities of practice creates a qualitative measurement of the social learning setting.

Lave and Wenger’s ‘communities of practice’ draws upon social experience and connectivity to form theory (1998). Their ideas on experience present a challenge to TESL. However, the social context from which communities of practice are formed allow for the theory to be applied. Collaboratories exist due to the need for connection across geography. These communities provide a structure that promotes social connectivity on a different level than what Lave, Wenger, and Vygotsky intended. From these two theoretical lens I submit the ‘technologically enhanced social learning’ framework and suggest mixed method research to understand the relevance of learning across multiple disciplines. Research data should be used as the basis for continued study on postmodern perspectives of what learning is, means, and how it is achieved. Research

Research of TESL would be conducted in both qualitative and quantitative forms. Survey’s would be given to participants of the virtual setting to determine if typical forms of learning have taken place after the interaction. Interviews would be conducted to determine if understanding was both sent and received. Coding results from the interviews would form a basis for a subjective perspective, which could move the researcher closer to a theoretical understanding of social learning in a technology-enhanced environment. Practice

The implications to practice could be far reaching. As McWhorter (2010) suggested, “people have connected to, through, and within technology, it has become more representative of real-time human communication and interaction” (p. 629) illuminating that new technologies are inching closer and closer to mirroring human face-to-face connections. While the current idea of virtual is in complete opposition to human in-person presence, the ideas of future practice could include sense replication variables such as; texture based, olfactory based, or sound based interactions to mirror human presence (Fazarro & McWhorter, 2011). While these seem far-fetched currently, they serve to provide as markers for TESL based ideas of knowing and meaning. When and if these forms of communications become real, a measurement could be taken of a tangible item that creates a measurable physical human feeling. This would point to a measurable difference between a socially constructed face-to-face environment and one that is enhanced by technology.

Further, the implications of TESL on the practice of education could be significant. For example, somatic learning refers to the body’s impact on learning (Clark, 2001). It has been suggested that learning occurred “simply [when] mental processes caught up with what [the] body already knew” (Clark, p. 86). Weiss (2001) added that “our minds and bodies work together to help us pay attention, solve problems, and remember solutions” (p. 63). Somatic learning refers to the internal connectivity between body and learning. Greater analysis of somatic learning effects within a virtual setting may be required to gain understanding of the difference between virtual and face-to-face mind-body learning capabilities.

Social cognitive learning suggests that specific characteristics create specific situations of the group and at the time of learning can affect the learning experience (Bandura, 1999). This idea of learning could also be extended. Based on TESL, social settings have changed to include new phenomena not easily measured and only relevant to virtual settings. The experiences obtained by each member of the virtual


community are likely to be very different since each individual’s setting will be completely different although connected virtually at the collective level. Practical Implications

TESL’s applications could be applied to those environments structured to be completely independent of face-to-face meetings. These social environments could be permanently assigned a virtual state with no opportunity of the participants meeting. In-person connections would invalidate the research and therefore affect the underpinnings of the theory. Such purely structured social environments are possible today with more reliance on virtual work groups due to improved technologies and defunding efforts within the global commerce space.

This theory is intended to form a more postmodern perspective on a modern measurement system and learning theory. Its application suggests future development of human-like environments with a virtual structure and platform. By application, this is currently not practical. However, future use would be sustainable pending technological advances of basic human sensory understanding. NEXT STEPS FOR TESL FRAMEWORK

The purpose of this framework is to gain a greater understanding of the influence that virtual technology use and application has on social learning. Due to the various means of measuring the virtual interaction between people, a research question can be formulated that is broad enough to encompass all settings of non face-to-face interaction. For example, a primary research question guiding this framework might be: Do virtual electronic collaboratories form societies that promote social learning? Potential Variables and Operationalizing

It is reasonable to suggest technology-enhanced social learning could be gathered from subjects participating within collaboratories. Individuals could be interviewed on a subject area before and after a prescribed duration of time via a virtual method. In this event, no subjects would be allowed to communicate with one another in person and all participants would be asked, both before and after the virtual interaction, of what they hope to learn and what they learned. Subjective and objective methods should be used to measure those indicators that require interviews to fully appreciate. Synthesized coding of gathered interviews will enable the researcher to form TESL by providing measurable and collective empirical data.

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Workplace Incivility: What Do Targets Say About It?

Priyanka V. Doshy Texas A&M University

Jia Wang

Texas A&M University

Every year millions of people fall prey to workplace incivility. Although current literature attempts to discuss the nature of workplace incivility, its impact, outcomes, and solutions, researchers stated that further work is required to understand this complex phenomenon. Thus, the purpose of this paper was to understand how workplace incivility is manifested in organizations and ways in which targets cope with uncivil behaviors. Findings suggest that power dynamics, perpetrators intentions and personality, and lack of organizational policies play a huge role in inhibiting workplace incivility that result in targets facing detrimental consequences. Implications for research and practice are provided. INTRODUCTION

Workplace incivility is steadily rising with the changing nature of work in the new millennium (Estes & Wang, 2008; Roscigno, Hudson, & Lopez, 2009). Every year millions of people fall prey to workplace incivility. Pearson and Porath (2009) reported that about one-fourth of the workers they polled in 1998 received rude treatment once or more in a week. By 2005 that number had risen to nearly half; about 95 percent reported experiencing incivility from their coworkers (Pearson & Porath, 2009). It is terrifying yet a reality that incivility prevails in all types of organizations, ranging from Fortune 500 companies, medical firms, government agencies, to national sports organizations, academia, and many other for-profit and non-profit organizations (Person & Porath, 2005). Researchers have conceptualized workplace incivility in various ways with an attempt to capture the complexity and intensity of the phenomenon. For instance, Rau-Foster (2004) described workplace incivility as “subtle rude or disrespectful behavior that demonstrates lack of regard for others” (p. 702). Andersson and Pearson (1999) defined incivility as “low-intensity deviant behavior with ambiguous intent to harm the target, in violation of workplace norms for mutual respect. Uncivil behaviors are characteristically rude and discourteous, displaying a lack of regard for others” (Andersson & Pearson, 1999, p. 457). Andersson and Pearson’s (1999) definition is the most cited throughout the literature and encompasses the key characteristics of the construct. Specifically, behaviors such as speaking in a demeaning manner, belittling, harassing, or bulling people, demonstrating a temper, interrupting individuals, spreading rumors or gossip, and causing violence are some forms of incivility (Pearson, Andersson, & Wegner, 2001; Rau-Foster, 2004).

Due to the emerging nature of workplace incivility, theories specific to workplace incivility are scarce. Nevertheless, Andersson and Pearson’s (1999) spiral theory of incivility is very popular. The


spiral begins at the starting point where an uncivil act is acknowledged and perceived as uncivil by an individual due to violated norms or unacceptable conduct (Anderson & Pearson, 1999). The victim’s reaction is either desire for revenge triggered by negative affect or a decision to depart from the organization, which could take place at any point throughout the spiral. The desire for revenge is likely to result in an act of incivility in response to the incivility experienced. As the spiral continues, one or both parties are likely to reach a tipping point due to anger, loss of face, or insult, which could trigger intentional intense behaviors such as violence or aggression. The spiral of incivility is an epidemic that could continue until justice is restored, forgiveness is given or asked, or one of the parties resigns. Further, the primary spiral could trigger a secondary spiral. A secondary spiral is triggered by observers of incivility (Andersson & Pearson, 1999). For example, members who observe incivility spirals are likely to engage in uncivil acts; thus, increasing organization wide incivility. Additionally, observing negative responses to incivility also give rise to secondary incivility spirals. Based upon the spiral theory of incivility it can be concluded that incivility is a vicious cycle which can be triggered from a minor issue and escalate to severe coarseness. Essentially, it can spread like a virus that is difficult to stop or control. In order to discontinue incivility spirals, it is imperative to establish a civil culture and climate in the organization, especially a culture of zero-tolerance towards incivility (Pearson & Porath, 2005).

Workplace incivility has detrimental consequences on both victims and organizations. On the individual level, victims suffer from psychological distress due to disrespectful actions and words (Estes & Wang, 2008). They experience anxiety, depression, insomnia, low self-esteem, and stress (Estes & Wang, 2008). Individuals who have encountered incivility are often traumatized and constantly worried that they may be targeted again (Cortina, 2008). In fact, the victims spend a majority of their time at work thinking and talking about the uncivil experiences they went through (Cortina, 2008). Further, workplace incivility reduces individual creativity, performance, motivation, focus, organizational commitment, and job satisfaction (Estes & Wang, 2008; Pearson, Andersson, & Porath, 2000), ultimately leading the victims to resign from their job (Lim & Cortina, 2005). On the organizational level, incivility results in high turnover, lack of productivity, absenteeism, and financial losses (Cortina & Magley, 2009; Pearson & Porath, 2005). In addition, observers of workplace incivility are also likely to engage in uncivil behaviors themselves, consequently increasing the occurrence of organizational incivility (Andersson & Pearson, 1999).

A number of studies have been conducted on workplace incivility. Most of them focused on explaining the nature, prevalence, consequences, and management of this phenomenon (e.g., Cortina and Magley, 2009; Cortina, Magley, Williams, & Langhout, 2001; Estes and Wang; 2008; Felblinger, 2008; Hutton and Gates, 2008; Reio and Ghosh, 2009; Pearson et al., 2001; Pearson and Porath, 2005; Smith, Andrusyszyn, & Laschinger, 2010; Zauderer, 2002). For instance, Pearson et al. (2001) examined the nature of incivility, the difference of incivility from other workplace mistreatments, as well as implications of workplace incivility on employees and organizations. Their findings revealed that incivility differs from other organizational mistreatments and causes unhealthy organizational climate where unresponsive hierarchy serves to silence the targets. Also, effects of incivility are long lasting for not only the targets but also co-workers and witnesses. Similarly, Cortina et al. (2001) found that 71 percent of employees endured incivility in the workplace within the last five years. They further noted that women and men were equally faced with uncivil behaviors and had to deal with the effects which resulted in employees experiencing poor communication within organizations, impaired coordination, and loss of respect for leaders. Taking a critical perspective, Bierema (2009) argued that power and its impact are rarely examined from a structural perspective. Callahan (2011) echoed that workplace incivility often indicates a structural problem of power and inequity at the organizational level. These critical analyses lead to the conclusion that power or one’s position within an organization plays a significant role in terms of employees’ experiences of incivility.

In addition, extensive research has been conducted to understand bullying, sexual harassment, and violence that occur within organizations (e.g., Jones, 2006; LaVan & Martin, 2008). Models have been developed to identify and describe uncivil behaviors (e.g., LaVan & Martin, 2008; Martin & Hine, 2005). Blau and Andersson (2005) developed a method to measure instigated workplace incivility (perpetrators’


execution of uncivil behaviors) versus experienced workplace incivility (the target experience of the perpetrators’ uncivil behaviors). These authors found that instigated workplace incivility was less intense compared to experienced workplace incivility. For instance, interrupting someone while talking (instigated incivility) would have less impact on individuals versus being interrupted by someone while talking (experienced incivility).

THE PROBLEM

Given the significant negative impact of workplace incivility as revealed by previous studies, this phenomenon is worthy of further systematic investigation. Since late 1990s, many organizations have consistently expressed concern about uncivil behaviors which occurred in the workplace (Estes & Wang, 2008). Nevertheless, the phenomenon of workplace incivility is “generally not well understood and accordingly not recognized as an issue needing attention” (Estes & Wang, 2008, p. 218). As a result, limited actions have been taken by organizations to address this serious issue (Pearson et al., 2001).

Furthermore, a limited number of workplace incivility studies have been conducted from the human resource development (HRD) perspective. Estes and Wang (2008), Reio and Ghosh (2009), and Zauderer (2002) are amongst the few HRD researchers who made an attempt in this direction. These researchers suggested some ways in which HRD practitioners and scholars can make a difference in reducing uncivil behaviors and improving organizational performance. They called for further research to generate additional insight into this complex topic and its antecedents.

Next, there are even fewer studies which examined individual differences on targets of workplace incivility (e.g., Milam et al., 2009) and their response or coping strategies (Cortina & Magley, 2009). Milam, Spitzmueller, & Penney (2009) revealed that targets who often disagree with others or perpetrators experience anxiety, have a mellow personality or a physical disease and also experience greater incivility than others. Accordingly, Cortina and Magley (2009) noted that targets respond to incivility in differing ways such as detachment, seeking support, minimizing contact with the perpetrators, and avoiding conflict. These actions depend upon the targets’ assessment of the situation, the duration of the situation, organizational power, and the position of the targets and the instigators.

Finally, the dominant methodology used for conducting workplace incivility studies has been quantitative in nature. While quantitative data shed light on the breath of the problem, it does not provide deep insights into the problem. It is thus imperative that organizational leaders and human resource developers gain an in-depth understanding directly from targets using qualitative research methods. THE PURPOSE

The purpose of this study was twofold: (1) to explore the manifestation of workplace incivility in the organizational context; and (2) to identify coping strategies used by targets or victims of workplace incivility. Findings from this study will enrich our current understanding of workplace incivility, its impact on victims, and strategies used for dealing with uncivil behaviors. With a solid knowledge of workplace incivility, human resource practitioners will be better positioned to assist both employees and organizations in identifying and addressing uncivil behaviors, as well as fostering a civil work climate. The following two questions guided the study:

1. How is workplace incivility manifested in organizations? 2. What strategies do victims use to deal with workplace incivility?

The remainder of this article consists of four parts. First, we present the methods we used for

conducting the study. Second, we report major findings from our thematic analysis. Third, we discuss the findings in relation to relevant literature. Finally, we offer recommendations for future practice and research.


METHOD

In this section we present the methods we used to address the two above research questions. We also briefly discuss our role as researchers and articulate how it might have influenced the study.

Methodology

We adopted a basic qualitative research design as it is suitable to achieve the study’s objectives. Merriam (2009) stated that the most common type of qualitative research used in applied fields is basic, interpretive study. The central characteristic of basic qualitative research is to construct reality through social interactions (Merriam, 2009). Specifically, the goal is to understand a social phenomenon from the actors’ perspective (Firestone, 1987). Data in basic qualitative studies are collected using interviews, observations, or document analysis (Merriam, 2009). In the current study, the goal was to understand manifestation of workplace incivility and individuals’ coping strategies. A basic qualitative approach was appropriate and allowed us to directly obtain information from the victims of uncivil behaviors in their workplace. Sampling Procedures and Participants

Padgett (2008) stated that sampling methods should be determined by research purpose and questions. This led to our selection of purposive sampling strategies in order to obtain information-rich data. As Merriam (2009) noted, “Purposeful sampling is based on the assumption that the investigator wants to discover, understand, and gain insight and therefore must select a sample from which the most can be learned” (p. 77). In this study, the main criterion for participant selection was that the individual must have experienced incivility at work during their career. This criterion would have automatically given way to satisfy the second aim of the study, which is, identifying individuals’ coping strategies upon experiencing incivility in the workplace, as those who experienced uncivil treatment would have consciously or subconsciously taken action to deal with it. However, the study did not limit participants to one single organization and doing so enabled us to obtain information from multiple organizational contexts.

We identified the potential participants through our personal contacts, including personal acquaintances, friends, or colleagues. The first author contacted each candidate via email informing them of the purpose of the study and giving them a brief introduction to workplace incivility. A number of individuals who met our primary criterion agreed to participate in the study. The final sample consisted of 11 participants (eight women, and three men) as this number represented the point of data saturation. Additionally, as many candidates met our selection criterion, the final sample was determined based on convenience. In other words, all the study participants lived and worked in the same city where we (researchers) live so that we could have easy, and multiple access to them for data collection. It is worth noting that the female participants outnumbered the male participants reflected a mere coincidence, not a purposeful plan. In this study, it was important for us to gain a holistic perspective by recruiting both male and female participants.

Participants of this study represented a wide age range (27 to 55 years old), and diverse professional backgrounds (including military, community college administration, multinational corporations, universities, the government, and private companies such as insurance franchises and catering companies). Each participant had varied work experiences and changed jobs at least once in his or her life at the time they were interviewed. Most participants had a master’s degree or were pursuing one. Further, participants racially identified themselves as either African American, Caucasian, or Hispanic. Data Collection

The primary method of data collection used for this study was interviewing. We developed an interview guide which included six semi-structured, open-ended questions to give the study participants the ability to portray their world in unique ways (Merriam, 2009). The questions focused on allowing participants to recall and reflect on incidents of workplace incivility and their impact as well as the coping


mechanisms they used. The selection of a semi-structured interview guide ensured that specific information with regards to participants’ experiences with workplace incivility would be obtained consistently yet offered flexibility. In addition, semi-structured interviews also enable researchers “to respond to the situation at hand, to the emerging worldview of the respondent, and to new ideas on the topic” (Merriam. 2009, p. 90). Due to this interview structure, the first author was able to have a conversation with the interviewees as well as obtain rich information and clarification through probing questions. Sample interview questions included in the Interview Guide are: (1) Tell me about a time when you experienced uncivil treatment in the workplace; and (2) How did incivility affect your work and personal life?

Each participant was interviewed one time only in a location of their choice. Each interview lasted for 45 to 60 minutes, and was digitally recorded for the purpose of transcription. According to Merriam (2009), pilot interviews are essential in order to evaluate the efficiency of question guide and its quality. Thus, there was an intentional gap of one week between the first two interviews and the rest of the interviews. This provided us with an opportunity to assess the interview questions and quality of the information obtained by reviewing the first two interview transcripts. We were satisfied with the results of the two pilot interviews and did not see the need for modify our pre-developed interview questions. Data Analysis

For data analysis, we used the constant comparative analytical method. The first author transcribed all the interviews verbatim. Then, we (both researchers) read the transcripts and coded the data independently by jotting down notes, comments, or observations in the margins. Open coding enables identifying data that potentially answers the research questions (Merriam, 2009). We then sorted the codes into different groups. This process of grouping open codes is called axial coding (Merriam, 2009) and each group becomes a category. The codes and categories were then re-sorted, or modified upon our further reviews of the data. This process primarily involved “comparing one segment of data with another to determine similarities and differences” (Merriam, 2009, p. 30) in order to identify patterns. Through this reiterative data coding and analysis process, we identified and agreed to major themes under four categories which we will report in the subsequent section. The Researchers’ Role

As researchers and minority women, we both have worked in varied positions and organizations and experienced and witnessed workplace incivility at varied stages of our professional lives. Further, we both come from high power distance cultures (Indian and Chinese) where authority, hierarchy, status, respect, harmony, gratitude, and happiness of others are emphasized in our value systems. Due to the paradox nature of these cultural forces, it is likely that uncivil behaviors are unappreciated but tolerated at the same time. It is the combination of these highly complex personal experiences we have as researchers that prompted our interest in pursuing the study of workplace incivility. Furthermore, given that we researchers are the data collection instrument in qualitative research (Merriam, 2009), declaring our positionality was one way to show how the study findings and our interpretations of the findings might have been informed by our backgrounds and biases. FINDINGS

In this section we report the major findings centered around the two research questions. They are classified into four categories: (a) position and personality, (b) negative attributes of the perpetrator, (c) impact on the victim, and (d) organizations’ willful blindness. For confidentiality, we have given each participant a number (e.g., Participant 1) to represent their identity. Direct quotes will be used to support each theme presented below.


Position and Personality From the responses of all the participants it was clear that a person’s position within an organization

and his or her personality is a significant determinant of experiencing or instigating uncivil behavior as well as coping with it. Specifically, the unequal power structure, that is, where the victim has less power or is submissive in nature compared to the perpetrator, is the primary cause of workplace incivility. The different examples and situations provided by the participants revealed the perpetrators’ advantages and the targets’ disadvantages due to power relations and differing personalities that prevail in organizations.

One major disadvantage as identified by all the participants was that their supervisor or the person in a higher position failed to comply. In other words, the higher-level individual would hinder the target’s ability to complete or perform his or her job effectively and in a timely manner. Alternatively, the failure to comply could occur with a person with a dominating or a bullying personality despite in the same or lower position. For instance, Participant 1 worked at the HR Department of a Community College where her job was to update job descriptions. In order to complete a particular job description, she needed the support of the Vice President (VP) of Information Technology (IT) and the administrative assistant of the IT department. However, the job description did not get updated until a year later and was only completed because the college was getting ready for an audit by their accrediting agency. So, for a period of one year, Participant 1 was unable to progress with her job due to the VP and the administrative assistant’s negligence and failure to respond to her request. Participant 1 explained,

I didn’t even want to meet with them. I didn’t need any time from them. I just needed them to collaborate and get this job description updated. I would either not hear a response back, or I would hear, “Oh, yes yes yes, I’ll get to that at the end of the week,” or “I’ll reply by next week” for a year. I had pretty much sent an email to both of them every three or four weeks consistently for a year, trying to get them to do this. Then in the summer, when I was back there full-time, when I would see them in the hall, I would talk to them in person about it, or call them on the phone. I kept getting the same run around.

In order to cope with the run around that she faced, Participant 1 started emailing both the VP and the administrative assistant once every day. Participant 1 stated, “I’m just going to annoy them to death, basically, with emails until they get me the updated job description.” Eventually, after persistence in contacting both the individuals, Participant 1 managed to complete the job description. This coping strategy of badgering the instigator was used by Participant 1 was necessary as her job was at stake. However, one could label her response to the uncivil behavior as uncivil too, due to her daily emails to both the individuals. Nevertheless, Participant 1 believed that her action was able to derive results; hence, she found it appropriate.

Another challenge that the participants faced was resistance either from higher-ranking employees or from employees who were in a similar position. Participant 3, an ex-military official, took a management position in an organization where she was required to deal with department heads in order to collect information which would help her complete her job requirement. However, she was faced by unexpected resistance from these individuals. As a result, Participant 3 had encountered immense difficulty obtaining the necessary information. Participant 3 revealed, “Even though the boss said this is what I want, and I could not produce it alone. I had to have their support, and they were less than supporting.” Participant 3 was not welcomed by the heads of the departments as she was considered as having no background of the civilian world. She elaborated, “They would sit there with a smile on their face and ‘yadda, yadda, yadda,’ but when it came the time to actually produce what they needed to produce, you never got anything, which is problematic when you need their input to be able to produce the final project.” Nevertheless, Participant 3 did not give up. After a lot of struggle and persistence, she managed to develop a one-on-one relationship with them, which was fruitful in allowing her to extract information from the department heads. It also shows that incivility could be dealt with gracefully or tactfully as Participant 3 demonstrated in her case.


Subtle sabotaging is another form of incivility which is inflicted from a superior, a subordinate, or someone in a lateral position. When Participant 5 worked in an Air Force base, his job required him to be in a lot of presentations and briefings. A female colleague of him, although in a similar position as Participant 5, acted as his supervisor and mentor due to more years of work experience she had than Participant 5. According to Participant 5, the female colleague was helpful and supportive as mentor and gave him tips for day-to-day activities of the job. However, as a supervisor, she took credit for the work he did, which he considered uncivil, unethical, and unappreciative. Participant 5 stated,

Not that I need credit, but that hurt me deeply, because I had looked upon her as a mentor and now here she was acting like it was all her. I don’t remember the resolution of that. I think that nothing ever came of it, because I didn’t say anything. I figured that if the General didn’t know, it wasn’t my place to tell him, and I didn’t say anything to her because she was my boss, and I feared for what she might do to me if I challenged her.

This example shows that perpetrators can have two different types of personalities and can easily sabotage the victim for their own personal gains or interests. However, it is important to note that avoiding conflict or confrontation is the most frequently adopted strategy of dealing with incivility as it was revealed by Participant 5.

Similarly, Participant 6 also faced subtle sabotaging from a woman who worked at the same level as her for the State of Texas. Participant 6 was in charge of the computer network and the perpetrator of this incident used her personal contacts to incapacitate the network. However, in this situation, Participant 6 worked with her supervisor in devising a newer and more recent network which was much needed by the department. Since she was able to convince her boss to implement a new system, the perpetrator was unable to destroy the network due to lack of access to passwords and other details. Nevertheless, this is another example of sabotaging which was handled tactfully.

A threat from supervisors or colleagues is another form of workplace incivility reported by the participants. Participant 2 worked in a multinational corporation where she was exposed to a boss who discussed profane personal experiences (e.g., nooners) and also threatened to physically abuse her if she ever decided to date a colleague who was interested in her. In spite of the fact that Participant 2 had made it very clear she was engaged and had no interest in dating any other men, her boss continued to threaten her. Participant 2 stated, “My dad asked me to stand up to her. But instead, I just took a transfer.” Escaping from the situation is another frequently mentioned coping mechanism by the study participants.

Overall, workplace incivility is inflicted due to power structures within an organization and individual personality. From the above examples, it was clear that a supervisor or someone in the similar position can instigate uncivil behavior. Some forms of incivility mentioned by the participants in this study include failure to comply, resistance, sabotaging, lack of common vision, and giving additional tasks beyond an individual’s job description. On the other hand, the ways in which the participants chose to cope with the uncivil treats differed based on their personality and/or the circumstance in which they were. In this study, the participants chose to escape from the situation, avoid it, deal with it tactfully or gracefully, or engage themselves in workout sessions. Confronting the perpetrator or responding with incivility was also identified by the participants as coping tactics but it was not common practice as the participants were in fear of the consequences such as the loss of their jobs. However, based on the participants’ report, there was no question that workplace incivility prevailed in every organization involved in this study. Negative Attributes of the Perpetrator

Upon analyzing the causes of workplace incivility it appeared that targets all identified negative attributes of the perpetrators for their instigation of uncivil behavior. For example, the study participants identified a number of triggers for incivility, including jealousy, competition, dislike, work experience, and ignorance to explain the inappropriate behavior of the instigators. However, it is interesting that none of the participants blamed their experiences of incivility on themselves, or their personalities and actions.


For instance, consider the case of Participant 6 who was in charge of the computer network being sabotaged by a lady who repeatedly destroyed the network in order to cause Participant 6 trouble in her job. When confronting this lady, Participant 6 learned that the instigator was jealous of her and her college degree which she did not have. In this case, the perpetrator revealed a strong dislike towards individuals who were higher in the educational ladder.

Next, in Participant 3’s example, she encountered resistance because she had work experience different from the rest of her colleagues. That is, Participant 3 had come from a military background while others had not. This difference caused Participant 3’s colleagues to resist working with her and dislike her because they believed that she did not have knowledge they had (i.e., how the civilian world operates).

Often people are uncivil without even realizing that they are being uncivil towards someone. When Participant 1 worked as a part-time employee in the HR Department, she shared an office with another employee who had the same job description. However, that person worked as a full-time employee while Participant 1 worked only during summer. Participant 1 explained,

I’m the first person that they [job applicants] see. And they’re asking any HR question like “I’m interested in this position.” I’ll start to talk to them. She’ll jump up from her desk and interrupt and address the person’s question. Every summer it happens. There are a lot of instances like that where she just sort of takes over something. I don’t know if she is even conscious of it, but I think that is a little uncivil.

Since Participant 1 and the perpetrator are also friends, she had casually mentioned to the perpetrator how inappropriate her behavior was. The perpetrator stated that she was not aware of it. However, having the knowledge did not stop the perpetrator from demonstrating the same behavior. The perpetrator’s continuation of the uncivil behavior signals her strong desire to compete with Participant 1. Therefore, it is possible that perpetrators might be unaware of their uncivil behavior towards people but at the same time they could be aware of it yet still choose to continue with the same behavior for personal reasons such as jealousy and competition. Impact on the Victim

Workplace incivility causes adverse effects upon a victim’s mental, emotional, and physical well-being along with their professional life. Below are a few representative sentiments shared by the study participants. If I get frustrated or annoyed or any emotion that might not be professionally put out there, then I

just keep that in. That is when you go home at night, you have to let that out at some point, whether it is exercise or going to the park, or whatever you have to do to let it out (Participant 8).

It made me feel uncomfortable and not safe … I cried. I didn’t want to go to work. Besides we’d end up talking about it instead of doing our typing. It made me feel bad about myself. And, I was nauseated from worrying about it all of the time. Yeah, it affected me physically and mentally (Participant 2).

I don’t guess in the real scheme of things, it had a real big effect on me. But that is probably because I’m a very strong-minded person. If I was a little less secure in myself, it might have caused me to go hide under a rock, but for a person like me with my composition, it just made me try a little harder and do a little more. But I can see where that would not be true for all people. So, I’ve kind of talked a little about personal and a little about professional all blended together, but I think to sum it up, it probably didn’t have a whole lot of negative effect on me (Participant 11).

The above remarks reveal that the impact of workplace incivility is strong and can be very harmful. It not only causes individuals to lose focus at work and affect their performance but it can also cause severe personal damage. On the other hand, these statements also show that the impact depends upon the personality of a person as revealed by Participant 11.


In sum, from the accounts portrayed by the participants, it is evident that people cope with uncivil behaviors at work quite differently and therefore the impact of incivility differs to different individuals. However, it is not uncommon that workplace incivility can result in poor self-esteem, poor health, foul mood, and incompetency at work. These consequences make the phenomenon of workplace incivility too important to ignore. Organizations’ Willful Blindness

As indicated by the study participants, their organizations do not have a policy to specifically address workplace incivility related issues because this is such a new term or phenomenon. However, their organizations do have a policy related to violence, bullying, racism, and sexual harassment. Participants 5 and 3 who worked at the Air Force and military, respectively, were aware of a structure that was put in place due to the unique nature of their organizations. Participant 3 said, “We never talked about incivility, but people in the military know that there is military justice and so they know if they step outside the lines, whatever line it might be, there are consequences.” On the other hand, Participants 2 and 4 noted that in all the organizations they worked for, incivility was not addressed or even considered as inappropriate behaviors. In contrary, Participant 7 who worked for a government agency stated, “There wasn’t a policy but you were supposed to report it to your immediate supervisor. If you don’t get anything out of that person, or that is the person who is being uncivil to you, then you go to an HR person and report it.”

In this study, several participants experienced incivility on a regular basis. Their organizations took limited measures to address this issue. Further, despite the fact that some organizations offered employees the protocol of consulting with the supervisor or HR personnel, it was unlikely that the participants would choose that option in fear of some potential consequences such as being fired, experiencing greater uncivil behavior, or forced resignation. Therefore, it seems that organizations have turned a blind eye to this serious issue even though it should be of paramount concern due to the rapid growth and adverse effects on multiple levels.

DISCUSSION

This study was conducted to understand how incivility is manifested in workplaces and what strategies victims use to cope with it. Through individual face-to-face interviews, we were able to collect the first-hand data which was rich and unique to the individual participants. Based on the findings, four conclusions can be drawn. First, positional power that individuals hold in an organization and differing personalities causes incivility. Second, the negative attributes of the perpetrator contribute to workplace incivility. Third, uncivil behavior can have a major impact on the target. Finally, there lacks official organizational policies to address the issue of workplace incivility despite that it is a growing phenomenon.

Based on the first finding of the study, it appears that power relations and power struggle in organizations tend to escalate incivility. This finding support the arguments made by researchers such as Bierema (2009) and Callahan (2011) who posited that power or one’s position within an organization play a significant role in terms of employees’ experiences of incivility. Those in power seldom suffer from incivility; instead, they are often perceived as the instigator (Callahan, 2011) who negatively impact subordinates (Estes & Wang, 2008). Furthermore, Ashforth (1994) and Tepper (2000) confirmed that interpersonal mistreatment is often instigated from higher-status individuals. This suggests that individuals who are of a lower-status are highly likely to experience mistreatment from higher-status individuals that affects their personal and professional well-being (Carza & Cortina, 2007). This is a prominent theme emerged out of this study. As revealed by the study participants, their supervisors often used their positional power to mistreat them. Additionally, competition between individuals in the similar positions can also cause uncivil behavior. Competition arises due to personality clashes and dislike which necessitate the desire to outperform another individual, or vice versa. This results in failure of building a common ground and causing a perpetrator-victim relationship. Subsequently, situations such as failure to


comply, resistance, threats, additional job tasks, are among many experienced by targets of uncivil behavior. This finding is important and has not been highlighted in previous studies on workplace incivility. As positional power will continue to exist in any type of organizations, it is important that organizational leaders and HR practitioners become keenly aware of this type of power and develop strategies to prevent power abuse.

What was made clear by the study participants is that how to cope with uncivil behavior is largely dependent on individual differences (personal attributes such as resilience and level of maturity) and the specific situations. Some of the strategies participants used were escaping, avoiding, working out, confronting, tactfully dealing with the situation, or being uncivil in return. It appears that the most popular strategy of all was to avoid and escape. In this study, few participants chose to confront due to their fear of the instigator or concern that the situation might deteriorate further or they might end up losing their job. This finding is consistent with those from previous research (e.g., Cortina et al., 2001; Estes & Wang, 2008; Felblinger, 2008; Hutton & Gates, 2008; Smith et al., 2010; Lim & Cortina, 2005; Zauderer, 2002). However, a few interesting findings from this study are worth highlighting. First, the less important the job is to an individual, the more likely he or she would choose to confront the instigator. Second, a submissive person is unlikely to confront even in a job which is unimportant to him or her. Third, the more experienced and mature an individual is, the more likely he or she will be able to deal with incivility gracefully and tactfully.

Furthermore, dealing or coping with incivility also depends upon the participants’ personal attributes as well as the impact it has caused on them. A resilient individual would likely experience less negative effects of incivility compared to an individual who has lower positive psychological capital (hope, self-efficacy, resilient, and optimism) (Roberts, Scherer, & Bowyer, 2011). Thus, an individual with lower positive psychological capital may face greater adverse effects such as low self-esteem, negative feelings about self, and poor health due to uncivil experiences. On the other hand, all these personal adversities give rise to poor performance at work which could cause a possible threat to one’s job. CONCLUSIONS AND RECOMMENDATIONS

Workplace incivility is an epidemic that can negatively affect organizations and their members. Specifically, victims face adverse physical and psychological consequences that result in poor personal and professional life. Subsequently, an organization’s bottom line is affected due to unhappy and unproductive employees who are troubled by incivility encounters. Findings from this study call for serious attention and actions to alleviate workplace incivility so that organizational members can work in an environment which is safe and healthy. In this spirit, we suggest several areas in which HR can intervene to accomplish such goals. Recommendations for Practice

In spite of severe effects of workplace incivility, there clearly lacks formal organizational policies to address this imminent issue. Human resource professionals can play a leading role in assisting organizational leaders in developing such policies. The policies should establish the ground rules, workplace behavior expectations, and consequences for violating such rules (Bandow & Hunter, 2008; Estes & Wang, 2008). HR practitioners must strive to ensure that these policies apply to all organizational members, particularly those in power. Treating all employees with fairness and justice is critical in reducing workplace incivility, especially given that power, hierarchical and relational status determines how individuals experience and respond to interpersonal mistreatment (Carza & Cartina, 2007) which is often instigated from higher-status individuals (Ashforth, 1994; Terpper, 2000). HR professionals must take responsibility for helping organizational members recognize the power dynamics and fostering a fair work climate.

Nowadays the climate of many organizations tends to be informal with an aim to promote innovativeness, stimulate creativity, and establish free-flowing communication (Andersson & Pearson, 1999). This informality is evident through dress code, word choice, conversational patterns, posture,


emotional expressions, and other nonverbal cues (Andersson & Pearson, 1999). Informal settings make it difficult for employees and leaders to distinguish between acceptable and unacceptable behaviors in themselves as well as others; thus, promoting incivility. It is essential to replace an informal climate with a climate that is formal, and with clearly outlined boundaries guide the conduct of all organizational members. A formal climate gives little leeway for employees to breach acceptable behaviors, and unspoken rules of politeness and professionalism due to less ambiguity (Andersson & Pearson, 1999).

Additionally, it is important that HR practitioners help organizational members build an awareness of the phenomenon of workplace incivility. Providing training workshops is one way to accomplish this goal (Pearson & Porath, 2010; Zauderer, 2002). Also, HR professionals can take advantage of social media and technology to create a community where employees who experience uncivil treat can safely voice their concern and share experiences without fear of retaliations or revenges.

In addition to raising the awareness, HR professionals must delineate ways in which they can identify and eliminate the underlying causes of workplace incivility in order to prevent uncivil behaviors from occurring in the first place. Specifically, HR professionals should educate those in power (top management) on the severe impact of incivility on both the organizations and employees so that they can become leaders in creating a civil work environment (Callahan, 2011). Additionally, HR professionals must encourage organizational leaders to engage in conversations with employees who have been targets or victims of incivility. This will allow employees’ perspectives to be shared, hence, help organizations focus their energy on developing effective interventions in a timely fashion. Additionally, HR practitioners should also conduct exit interviews with departing employees to understand the cause for their departure. Doing so will allow organizations to become more aware of incivility related issues and develop effective policies and strategies to address these issues (Pearson & Porath, 2005).

Next, HR professionals can help employees “establish unions and collective bargaining avenues” that help benefit both employees and organizations (Callahan, 2011, p. 17). Furthermore, socialization programs which minimize the conditions which lead to power to should be instilled and developed by HRD practitioners (Callahan, 2011; Reio & Ghosh, 2009). Finally, activities that improve communication across diverse groups must be introduced to enforce appreciation for diverse individuals and talents (Porath & Pearson, 2009; Reio & Ghosh, 2009). Recommendations for Future Research

Further research on workplace incivility must be conducted in order to continue to gain new insights and help reduce the number of incivility incidents at work. We recommend that future research focus on the following research questions.

1. Why do perpetrators instigate incivility and what do they intend to achieve from it? 2. How do personal attributes (e.g., personality, age, maturity, experience, cultural background)

influence the way individuals handle workplace incivility? 3. Do cultural differences matter in the case of workplace incivility? If so, how? 4. Do men and women handle workplace incivility differently? If so, how? 5. How do organizational justice and support contribute to deviant behaviors in the workplace as

Zoghbi-Manrique de Lara and Verano-Tacoronte (2007) pointed out? 6. What is the relationship between leadership and workplace incivility?

In addition to examine the above questions, there remains a need for further research on power from a critical perspective since incivility is very closely associated to power (Bierema, 2009; Callahan, 2011). Gaining an understanding to these issues will help expand our knowledge of the prevalence and causes of this complex phenomenon of workplace incivility. It will also help build theories on workplace incivility which are missing in current literature.

Methodologically, we encourage empirical studies using different research approaches. For example, using mixed research methods would help provide generalizable and informative data at the same time. Phenomenological studies focusing on individual experiences with workplace incivility would deepen our


understanding of the impact of this phenomenon at the individual level. Case studies that focus on organizations which have successfully addressed or failed to address important workplace incivility issues will allow us to draw valuable lessons to improve organizational practices. REFERENCES Andersson, L. M. and Pearson, C. M. (1999). Tit for tat? The spiraling effect of incivility in the

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http://www.aaohn.org/�

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Constructing Professional Identity – The Experience of Work Based Learning Candidates

Lynn Nichol

University of Worcester

Sue Williams University of Gloucestershire

Previous research into professional identity has argued that training institutions shape professional formation. This research focuses on professionals who have undertaken a work based approach and explores the interrelationship between practitioners’ own narrative of professional identity and that encoded within the narrative of the standards of a professional HR/HRD body. The findings begin to question the traditional understanding of the inter-relationship between the narrative of the professional body and individual HR/HRD practitioner narratives of identity suggesting that neither the professional body nor the mainstream educational institution are the major players in the development of professional identity. PROBLEM STATEMENT

Previous research into professional identity has argued that training institutions shape professional formation by providing the knowledge base, the certification of technical competence and the official credentials for entry to professions (Muzio, Kirkpatrick & Kipping, 2011). Training for the profession in this scenario is completed prior to entry and is part of the socialisation process for the profession. This research investigates an alternative training and development process that of exploring the professional identity of senior HR/HRD practitioners who engage in a work based learning approach to gain their professional qualification in the middle of their career. The central objective of the research is:

To explore the interrelationship between practitioners’ own narrative of professional identity and that encoded within the narrative of the standards of a professional HR/HRD body.

WORK BASED LEARNING PROGRAMME

This paper reports the interim findings from phase one of an on-going study. The participants in the study are former candidates from a Professional Assessment Centre Programme (PAC) at one British university. PAC is a route to Chartered Membership of the professional HR/HRD body; The Chartered Institute of Personnel and Development (CIPD). It is a work based learning route that employs the candidate’s work experience to provide an evidential context for assessment against the professional


standards of CIPD. Attendance at formal classes is not part of the programme, an adviser meets regularly with the candidate throughout the process to discuss their evidence and facilitate reflection on the candidate’s work based experience and the HR/HRD knowledge base. Students are assessed by a face-to-face professional discussion. PROFESSIONAL IDENTITY

Traditionally research exploring professional identity in the US and UK has focused on redefining professional boundaries, particularly with the advent of new public service management (Bolton, 2005; Swailes, 2003). There has also been documentation of the emergence of the new commercialised professional and the tensions between the liberal and the managerially focused professions, (Noordegraaf, 2011). In criticising the dominance of these approaches, authors have begun to develop an alternative strand of work that explores the influence of the organisational context on identify (Faulconbridge and Muzio, 2008). It has been suggested that because of the changeability of the work environment it is no longer appropriate to define professional identity as a tripartite relationship between state, users and training institutions (Muzio, Kirkpatrick and Kipping, 2011). Baumann (2004) writes of current organisational times as creating the phenomenon of ‘liquid identity’, uncertain, fluid, out of which individual practitioners need to develop a sense of self, a personal view of what it means to be a professional. Pritchard and Symon (2011) describe the normative view of professionals as ‘out of place in a more dynamic model of work’. They argue that the identity of a professional is not a label awarded after education and certification (Watson, 2002) but is ‘an emergent, unpredictable and localized process’ (p 96). Identity is constructed within and is contingent upon the local workplace. The work based learning route to professional qualification is embedded in the uncertain work place. Candidates are already experienced HR/HRD practitioners, who, in contrast to the traditional routes to professions, some years after entry to HR/HRD engage with the body of knowledge espoused by the gatekeeper to the profession, the professional body. METHODOLOGY

The research is located in the interpretivist tradition using one-to-one semi-structured interviews. To-

date, seven interviews have been conducted. The participants were all working in HR/HRD. The interviews explored their own HR/HRD identity, the perception of the characteristics of an HR/HRD professional and their engagement with the work based learning programme. The researchers are currently both academic HRD tutors but both with a practitioner background prior to an academic career. Therefore the influence of a post experience professional qualification on an individual’s professional persona is germane to our own teaching practises and important to the wider understanding of the role of HRD. DISCUSSION

We are reluctant to draw any firm conclusions from this research to date as we are unable to compare those who have undertaken work based and traditional routes to professional qualification without the completion of the next phases. However the interviews identify a number of experiences that provide insight into how individuals view their own identity, the contribution of work based learning and the influence of the professional body standards.

A common theme amongst the participants seems to be in seeing the qualification as a way of confirming expertise and building confidence. This confidence boost theme resonates strongly throughout the interviews. The participants identified that through undertaking work based learning they evaluated their professional practice formed in the organisational context, against the theoretical models of HR and the professional body’s standards thereby self-validating their own practice.


Often the participants wanted to demonstrate that their expertise was comparable with their colleagues who had studied through the conventional pre-work experience route. Given the criticism and concern about the appropriateness of the traditional model of training for professionals by many authors, including Baumann (2004), Pritchard and Symons (2011) and Watson (2002) it is interesting to note that the participants perceived that the standards of the professional body were a valuable benchmark for their professional practice. Many of the participants had become involved in HR/HRD from very different career starting points and none had entered HR/HRD as a first choice career. Their formation mirrored the localised, fluid process suggested by Watson (2002) only seeking qualification once they were senior and experienced HR/HRD professionals. However local formation is not sufficient validation for the participants, who required external legitimisation of their experience through certification and self-legitismisation through reviewing their own practice and undergoing assessment. It was an opportunity to validate their experience by gaining membership of a professional body. One participant suggested that it was a way of gaining confidence that her experiences were legitimate, another described gaining her work based learning qualification as being given ‘a seal of approval from the world’. It appears that although experienced HR/HRD practitioners the participants did not feel complete as a professional without the ‘badge’ of membership of a professional body. It is less clear whether the narrative of the professional body is more powerful than just granting a ‘badge’ that is valuable in difficult economic circumstances, or is strongly influential in joining with the organisational narrative to develop each practitioner’s unique professional identity.

Despite developing their HR/HRD expertise in the workplace the participants had some common understandings of the characteristics essential for HR/HRD citing fairness and integrity as key attributes. Traditional models of professional formation would suggest that such shared understandings would be developed through prework education. None of the participants had taken part in formal HR/HRD education however all the participants identified specific colleagues in HR/HRD who had acted as mentors providing an alternative approach to developing professional characteristics than pre-work education.

Although sharing a common view on the ethical standpoint required in HR/HRD the participants described their role in many ways suggesting different perceptions of identity. One participant described herself as ‘Queen Bee’; a sole HR practitioner in her organisation pursuing a role that is totally different from ‘the role described in HR magazines’. She perceives her roles as ‘paid to advise and point out the consequences if you continue down this path’. Working alone is both a structural feature of this participant’s work and a way of working. She believes that the HR/HRD role should be ‘slightly apart from everyone else’. She doesn’t want to be ‘drinking with someone one night and then having to sack them the next day’. Other participants describe their roles in different ways including change agent, strategic leader and a ‘sign-post’ enabling others to find solutions. In contrast to the participant who sees herself as slightly apart they emphasise the centrality of the HR/HRD role to others in the organisation. These different ideas appear to emerge from organisation context echoing Watson’s (2002) view that professional identity is contingent on situation rather than educational experience.

This is further supported by the role of reflection in the PAC process. PAC candidates are required to reflect and evaluate the linkages between their own practice and the CIPD standards. The participants see reflection as central to confirming confidence in their own identity and role. For work based learning candidates consideration of the evaluation of their own practice against the standards of the professional body is a personal activity and confirmation that they have reached a professional standard. There is evidence in this research that the participants have differing roles and understandings of self, echoing Baumann’s (2004) view that identity is liquid with each practitioner forming their own view of self. Participants sometimes found it difficult to locate themselves across the diverse range of standards expected by the professional body, supporting the notion that work based learning provided the opportunity for each practitioner to explore their own identity and then through the assessment make their individual and unique identity explicit to themselves.


IMPACT OF HRD ON PROFESSIONAL IDENTITY

Jorgenson and Henrikson (2011, p.138) argue that HRD has a role in ‘bridging the gap’ or sustaining ‘the bonds between individuals, organisations and the contexts in which these organisations occur’; a role, therefore, in understanding the construction of professional identity. They argue that individuals experience their world through “the narrative forces by which individuals construct themselves as meaningful individuals in the world” (p131). They emphasise that individuals integrate their past, present and future through the process of narration. PAC could be described as an example of a process of narration, constructing the participants’ reality but against a series of ordered, focused professionally developed narratives i.e. that of the CIPD standards. In terms of gaining the qualification, the evidence provided was but one selection of material to tell their story of competence; there could have been many others. However in studying the ways in which these professionals now relate to their organisations or situations as a result of gaining the qualification provides HRD practitioners with insights into how such programmes are or are not integrated into their organisational narratives and how the narrative of the professional body interrelates with the personal and organisational narrative of each practitioner. At a future stage the research might seek to explore the latent narrative of the development of their careers and satisfaction with their profession over time.

The findings from the research begin to question the traditional understanding of the interrelationship between the narrative of the professional body and individual HR/HRD practitioner narratives of identity suggesting that neither the professional body nor the mainstream educational institution are the major players in the development of professional identity. It is not the academic that is central stage here but the interactions in the workplace and the HR/HRD mentors chosen by each individual practitioner.

REFERENCES Baumann. Z. (2004) cited in Jorgenson K. Henrikson L. (2011) op. cit. Bolton, S.C. (2005). ‘Making up’ managers: the case of NHS nurses. Work, Employment & Society. 19:5,

5-23. Evetts, J. (2003). The sociological analysis of professionalism: Occupational change in the modern world.

International Sociology. 18:2, 395-415. Evetts, J. (2006). Short note: The sociology of professional groups: New Directions. Current Sociology.

54:1, 133-143. Faulconbridge, J., & Muzio, D. (2008). Organizational professionalism in globalising law firms. Work,

Employment and Society. 22:7, 7-25. Jorgenson, K., & Henrikson, L. (2011) Chapter 11, Identity and HRD in McGuire D., & Jorgenson, K.

(2011) Human Resource Development: theory and practice. London: Sage. Muzio, D., Kirkpatrick, I., & Kipping, M. (2011). Professions, organizations and the state: Applying the

sociology of the professions to the case of management consultancy. Current Sociology. 59:6, 805-824.

Pritchard, K., & Symon, G (2011). Identity on the line: constructing professional identity in a HR call centre. Work, Employment and Society. 25:3, 434-450.

Swailes, S. (2003). Professionalism: Evolution and measurement. The Service Industries Journal. 23:2. Watson T. (2002). Professions and professionalism: Should we jump off the bandwagon, better to study

where it is going? International Studies of Management and Organization. 32:2, 94-106.


Union Pacific: Through Deregulation & Beyond

Elina Ibrayeva University of Nebraska

Terrence Sebora

University of Nebraska

The case examines Union Pacific around deregulation of the railroad industry as it faced multiple crises and changed strategic course. It paints a picture of an industry shaped by environmental forces, which intersected to define Union Pacific’s competition in and with the trucking industry. It captures the industry’s sometimes-adversarial relationship to its labor unions and witnesses the transformational role played by technology. It sets the stage for the instructor to discuss regulation and labor unions – two controversial but important topics influencing business decisions – by asking the reader to consider whether the time is right to strategically reenter the trucking industry. INTRODUCTION

Shawntell Kroese, Assistant Vice President of Domestic Intermodal Sales glanced out a wall of

windows in Union Pacific’s corporate headquarters, out onto blue skies and sunlit city of Omaha. She could hear the hurried footsteps of John, an undergraduate college student who’d scheduled an appointment to interview her approaching down the hall – he was just on time. “Hi,” he said, sitting down and smiling. “How was the drive?” Shawntell asked. “It was alright” said a breathless John “but I got into a traffic jam on I-80. Sorry, I was going to be here early and everything.” “No problem,” she replied, “I’m just glad you are here.” John took a digital recording device out of his backpack and clicked a button: “So, for my first question… I know Union Pacific has been doing very well recently, with record earnings and everything. I was wondering… Do you think you’ll end up expanding into the trucking industry?” Shawntell was surprised. That’s was a pretty big question! She wondered how much research John had done ahead of the interview. All that she knew of the trucking industry and Union Pacific instantaneously flashed to the forefront of her mind… BEFORE THE AUTOMOBILE

By signing the Pacific Railroad Act of 1862, President Abraham Lincoln put two companies in charge

of the construction of the first transcontinental railroad: Central Pacific and Union Pacific Railroad (Union Pacific [UP], 2013b). Union Pacific was responsible for building westward from Omaha, NE to meet the Central Pacific who built east from Sacramento, CA (UP, 2013a). In 1869, the golden spike was driven in at Utah, and the transcontinental Railroad was complete (UP, 2013b).


As time got on, many railroad customers became alarmed that in locations where there was no railroad competition or when railroads colluded, railroad rates tended to be high (Saunders, 2003). On the other hand, where railroads competed, rates were lower (Saunders, 2003). Railroads argued they needed the extra income from non-competitive areas to make up the loss suffered at less profitable, and more competitive, locations (Saunders, 2003). The shippers who were adversely affected tended to see this kind of pricing as unfair (Saunders, 2003).

Interstate Commerce Commission (ICC) was created in 1887 to oversee the railroads – ICC was the first independent regulatory agency created by the US government (UP, 2013b). ICC’s central goal was to balance the railroads’ need for a fair return with the shippers’ need for a predictable rate schedule (Saunders, 2003).

In 1893, Union Pacific went bankrupt (UP, 2013b). The company joined over 15,000 American businesses which fell into bankruptcy in the Panic of 1893, a crisis that was reportedly triggered by a multitude of businesses overextending themselves as they borrowed money for expansion (Ohio History Central, n.d.). In 1897, Union Pacific was sold at foreclosure to a small group of investors (UP, 2013e). One of these investors, E.H. Harriman, spent the next decade restoring the company to prosperity (UP, 2013e). He acquired properties, modernized locomotives, enlarged operations yards, and doubled-tracked hundreds of miles (UP, 2013e).

Shippers, including the coal and chemical industries and farmers, tended to support regulation because it meant that railroads subsidized transportation costs for them (Saunders, 2003). According to historian Richard Saunders, some in the railroad business originally liked that regulation insulated railroads from brutal competition with each other (Saunders, 2003). However, trucks riding on government sponsored roads would eventually change the railroads’ industry attitude about regulation (Saunders, 2003). From Union Pacific’s “Post-Construction” history web page in 2013, it seemed that Union Pacific ultimately came to view regulation negatively. According to up.com, “government regulators used public dislike of railroads during the late 19th century to cripple a 20th century industry, as well as the industry dependent on it” (UP, 2013e). TRUCKS COME ROARING IN

Until the 1920s, highways and trucks were too primitive to compete with railroads (Solomon, 2007). After World War I, labor costs in Northeast and New England increased and industries moved south and to the west to find cheaper labor (Solomon, 2007). Railroads faced the challenges of following these industries to their new locales. The government unintentionally competed with the railroads by funding the construction of new highways around the nation (Solomon, 2007). Partly due to this funding, highways gradually started to become a more affordable and convenient means of transport (Solomon, 2007).

Trucks would prove to be a powerful nemesis to the railroads. Truck transportation was frequently faster and cheaper, offered more flexible services, and utilized railroads maintained by the public (Klein, 2011). Large companies employed truck owners as independent contractors, thus reducing capital investment and increasing their own flexibility (Klein, 2011). Because trucks had no common carrier obligation, they could select most lucrative traffic (Solomon, 2007). Railroads, on the other hand, had an obligation to carry any freight that was presented to them (Saunders, 2003).

As can be seen in Table 1 below, railroads gradually lost their hold on percentage of total traffic. In 1940, railroads carried 61.3% of total United States freight traffic (Saunders, 2003). Forty years later, they carried only 37.2% (Saunders, 2003).


TABLE 1 RAILROAD TRAFFIC IN THE 20th CENTURY

Year Railroad Ton-Miles

% of Total Traffic

Employees (thousands)

Ton-Miles/ Employee

1900 141 NA 1018 138,500 1920 414 NA 2023 204,647 1940 373 61.3 1027 263,194 1960 575 43.6 781 732,394 1970 765 39.8 566 1,351,590 1980 919 37.2 459 2,002,787 1990 1,034 37.7 216 4,787,037 1998 1,356 40 182 7,450,549

Source: Moody's Industrial Manuals as cited by Saunders, R., & Saunders, R. (2003). Main lines: Rebirth of the North American railroads, 1970-2002. DeKalb: Northern Illinois University Press.

Railroads fought against the encroaching truck by innovating. According to Union Pacific’s website,

up.com, “the loading and unloading of freight cars became a science” and other aspects of railroading, such as locomotives and mileage per freight car, were improved (UP, 2013e). ICC, however, in its quest to reduce competition within the railroad industry, occasionally provided obstacles. In 1961, Southern Railway introduced a 100-ton-capacity covered hopper car nicknamed “Big John” to replace the standard 25-ton-capacity 40-foot boxcar (Saunders, 2003). The “Big John” would permit Southern Railway to transport grain more cheaply than before (Saunders, 2003). Southern Railway now could charge $3.97 a ton (for a lot that as at least 1,800 tons) rather than the old rate of $10.50 (Saunders, 2003). ICC turned the petition down, arguing that it would harm other railroad carriers who did not have or could not afford the new cars, as well as business on waterways (Saunders, 2003). The case went to Supreme Court twice, and in 1965, ICC ultimately approved the requested rates (Saunders, 2003).

By the 1970s, the entire railroad industry was struggling. In 1978, railroads earned only 265 million out of gross income of 22 billion (Klein, 2011). Between 1975 and 1979, the rate of return of all railroads was 1.71 percent, on average (Saunders, 2003). This was lower than the railroads’ rates of return during the worst of the Great Depression (Saunders, 2003). Such rates were smaller than the cost of borrowing money to repair a railroad’s physical assets (Saunders, 2003). If this level of rates continued, it was likely that more railroads would go the way of the Penn Central Railroad, which filed for bankruptcy in 1970 (Lehman Brothers Collection, 2012). Ten railroads had gone bankrupt since 1967, and four were in bankruptcy or on the road there (Klein, 2011).

Union Pacific performed relatively well during the 1970s (Saunders, 2003). In 1975, one of the worst years of the American railroading history, UP earned a net operating income of $113 million (Saunders, 2003). The rest of the industry – put together – earned $21 million (Saunders, 2003). In 1976, the Railroad Revitalization and Regulatory Reform (4R) Act was passed (Bloomberg Businessweek, n.d.). The act made $2.1 billion of repayable financing available to midwestern and northeastern railroad companies (Bloomberg Businessweek, n.d.). The 4R act was a step towards deregulation. It enabled the railroads price service up or down within a 7% range if they did not control more than 70% of traffic within a particular area (Saunders, 2003). However, ICC still had to review each application for a rate change (Saunders, 2003). This was slow relative to the private trucking industry because private truckers could make up rates “on the spot” as they negotiated with customers (Saunders, 2003). By the time ICC approved the railroads’ rate change, months could have passed, and the customer may have been lost (Saunders, 2003).


Railroad’s share of intercity (between cities) freight fell to a low of 36% in 1978 (Saunders, 2003). In the same year, trucks carried 25%, pipelines 23%, inland waterways 16%, and airlines 2% (Saunders, 2003). After World War II, the airlines had also negatively affected the railroads by taking up much of the long-haul passenger business (Klein, 2011). As can be seen in Table 1, even in 1970s, when railroads were at the height of their struggle, ton-miles (measure of the work done by railroads) increased (Saunders, 2003). Railroad volume was increasing, but the percentage of the total taken by railroads was decreasing (Saunders, 2003).

Trucks’ tendency to “steal” the most lucrative traffic was observed by Erie Railroad’s vice president of traffic when he spoke in 1954: “Trucks take only the kind of business they want. They skim off the cream. We can’t live on milk. We want cream” (Solomon, 2007, p.22). In 1969, trucks took in 75% of intercity revenue while carrying an approximate of only 21% of intercity ton-miles (Solomon, 2007). Railroads, meanwhile, took in 25% of revenue while hauling 41% of intercity ton-miles (Solomon, 2007).

John Kenefrick, who became CEO of Union Pacific’s transportation division in 1970, said that at one point trucks took away the most valuable part of the sugar refining business – hauling sugar – leaving the far less profitable business of hauling beets to UP (Klein, 2011). “It was really a hopeless sort of situation,” he observed (Klein, 2011, p.181).

In 1969, Union Pacific had spun off its oil, natural gas, coal and soda ash resources (which the company originally received as part of land grants) off as subsidiaries (Saunders, 2003). This was done to preserve them in case the railroad was nationalized or went bankrupt (Saunders, 2003). Union Pacific also received royalty income from other companies leasing its land (Klein, 2011). Between 1969 and 1974, 79% of Union Pacific’s net income was earned from its railroad, rather than the subsidiaries (Klein, 2011). Between 1979 and 1982, railroad business only contributed 38.3 percent to net income (Klein, 2011). Union Pacific came to wonder if there are more opportunities for greater returns in the non-railroad industry (Klein, 2011). Union Pacific leaders increasingly saw railroad as a “cash cow but not one to invest in” – they began considering diversifying into other businesses which could increase shareholder value (Klein, 2011, p.201).

In a 1987 annual report, Union Pacific would write: “the Corporation is shifting from a very basic asset-oriented company concentrating on the Railroad and the natural resource businesses to a Corporation determined to be on the leading edge of technology in delivering multi-modal transportation services, environmental services, creative oil and gas exploration programs and profitable real estate ventures” (Klein, 2011, p. 214).

One of the companies that Union Pacific purchased on its quest to diversify away from the railroad was a trucking company Overnite – in 1986 for $1.2 billion (“UP unloading truck unit,” 1998). Overnite was the fifth largest trucking firm in United States, serving 34 Eastern states, with 10,400 non-unionized employees and 1985 sales of $470 million, and no debt (Klein, 2011). Overnite was a “less than truckload” firm – it charged higher fees for smaller shipments (versus a flat rate for entire load) (Klein, 2011). Union Pacific hoped for synergies from its relationship with Overnite and desired to “broaden UP’s transportation footprint” (Klein, 2011, p.210). Not all in Union Pacific leadership agreed with the decision to acquire Overnite, especially given the high price that had been paid (Klein, 2011).

RELEASING THE TRAINS

In 1980, President Jimmy Carter signed the Staggers Rail Act, which partially deregulated the rail

industry (UP, 2013b). Staggers Bill meant that railroads could sign private contacts with shippers and set rates on their own (Klein, 2011). This meant that railroads could now compete on price differences, rather than service, as had been the case for most of 20th century (Klein, 2011). John Kenefick stated that Staggers Act was the most important development in the postwar industry – even more important than the diesel locomotive (Saunders, 2003). Kenefick commented on the impact of the Staggers Act: “In the days before deregulation, about the only thing the railroad could sell was service and a smile. Now service and a smile still count, but… the sweetest smile in the world won’t count if your competitor is five cents under you” (Klein, 2011, p. 189). According to Kenefick, the Staggers Act also gave company ability to


say no to some business: “There was no more of this bullshit about the sugar and the sugar beets. You could say ‘Look, buddy, unless you ship the sugar, don’t look for us to haul the beets” (Klein, 2011, p.185).

Another factor that had affected railroad industry’s profitability was the influence of its labor unions. While railroad unions had benefited railroad employees by negotiating higher salaries, they also meant that railroads tended to spend more on labor than the trucking industry. A train crew member’s annual pay was $52,000, on average, while a unionized truck driver earned about $40,000 and a non-unionized truck owner made $32,000 (Klein, 2011).

Firemen on diesel trains would become a symbol of “unnecessary” labor that the unions had imposed on the railroads (Saunders, 2003). Before the introduction of the automatic stoker, firemen did hard physical work, moving coal into locomotive firebox (Stover, 1970). Even after the introduction of the stoker, firemen were used to monitor the fire and boiler controls (Stover, 1970). In the 1940s, General Motors showed that diesel locomotives could take the place of steam locomotives in hauling freight (UP, 2013c). Diesel locomotives where driven electrically: the diesel engine drove an alternator, which produced electricity that powered the electric motors mounted on the axles of the locomotive (UP, 2013c). The diesel locomotives dramatically improved efficiency and made possible a substantial savings in facilities and maintenance (UP, 2013c). In 1948, when the railroads were only about 20% dieselized, fuel costs constituted 8% of the revenue (Stover, 1970). In 1967, when dieselization was nearly universal, fuel costs were less than 4% of the revenue (Stover, 1970).

Two factors slowed Union Pacific’s dieselization: shortages caused by World War II and the company’s fleet of modern steam locomotives (UP, 2013c). The last steam engine ever built for Union Pacific was built in 1944 (UP, 2013b). On diesel locomotives, there was no fire to stoke (Stover, 1970). However, the fireman could still monitor controls and assist the engineer (UP, 2013d). Whether the firemen remained valuable to the railroad was controversial: unions argued that they improved railroad safety (United Press International, 1985). In 1959, less than 3% of locomotives on American railroads were steam (750 steam and 28,000 diesel locomotives) (Stover, 1970). In the same year 35,000 firemen and helpers remained on the job (Stover, 1970). By 1960s, the steam locomotive had been nearly completely replaced by diesel on the American railroad (National Park Service, 2002). In 1985, Union Pacific still employed 1,200 firemen, paying them about $60 million in total (Klein, 2011).

In August 1985, a presidential mediation board appointed by President Ronald Reagan recommended eliminating, by attrition, approximately 5,000 fireman jobs left nationwide (United Press International [UPI], 1985). The board concluded the fireman job to be “no longer be warranted or necessary for the safe and efficient operation of trains” (UPI, 1985). The board stated: “The board has concluded that the time is now, 26 years after the completion of the change from steam to diesel locomotives, to write the final chapter in what was described to be one of the longest, most studied and volatile labor disputes in the history of railroad collective bargaining” (UPI, 1985).

By 1989, Union Pacific seemed to refocus its interest away from subsidiaries back to the railroad. The company’s CEO, Drew Lewis, stated: “We’re in the railroad business, and in the railroad business to stay” (Klein, 2011, p. 284).

In 1995, its power lessened by Staggers Act and other deregulation legislation, ICC had been reduced to 300 employees from the height of more than 2,400 in the 1960s (Saunders, 2003). On December 1995, ICC was eliminated and a new Surface Transportation Board, under the Department of Transportation, took over (Saunders, 2003). THE CRISIS

In 1996, Union Pacific was focused on pursuing a merger with Southern Pacific railroad, which

would give UP control to all gateways to Mexico except El Paso (Klein, 2011). Union Pacific believed Mexico had a great growth potential for railroads, making this merger very significant for the company (Klein, 2011). In July 1996, the Surface Transportation Board approved the merger (Saunders, 2003).


The merger did not go smoothly. Congestion and computer glitches related to Southern Pacific’s computer system’s being different than that of Union Pacific resulted in lost cars and a multitude of dissatisfied customers (Klein, 2011). As one example, Union Pacific’s computers lost track of 48 containers belonging to a cosmetics manufacturer, resulting in the cancellation of nearly all of this manufacturer’s Christmas orders (O’Reilly, 1998). One Union Pacific employee commented: “We were a linear railroad prior to the SP merger… very simple… We were starting to become a very sophisticated network, and the SP just put us out of the stratosphere” (Klein, 2011, p.369). UP’s workforce was stretched thin – crews were often called to work overtime (Saunders, 2003). At least one fatal railroad accident during this time may have been related to overworked employees falling asleep on the job (Saunders, 2003).

The crisis led Surface Transportation Board to hold emergency meetings (Klein, 2011). Several economists estimated that the congestion resulted in over $2 billion damage to United States’ economy (O’Reilly, 1998). BNSF railroad, one of Union Pacific’s major competitors, increased its business by the 10% that UP lost during the crisis (Klein, 2011). Some Union Pacific shippers filed lawsuits (Saunders, 2003). A survey conducted in December 1997 found that 30% of shippers who had diverted from Union Pacific during the crisis said they would never rely entirely on Union Pacific for all their shipping needs again (Saunders, 2003). Thirteen percent said they would never be Union Pacific’s customers again (Saunders, 2003). Union Pacific’s troubles became national news, and were even featured on “The Simpsons” (Saunders, 2003).

Many potential causes for the crisis were examined by the media. A Fortune article summarized, suggesting that perhaps Union Pacific failed to listen to Southern Pacific employees: “Computer problems. Bizarre labor rules. Inept federal regulators. Weather. Mexico. An intimidating CEO with subordinates reluctant to deliver bad news. Surging grain traffic. A booming petrochemical industry. But mostly the problem was arrogance. Union Pacific refused to accept suggestions from Southern Pacific employees who knew how to run their ailing railroad with chewing gum and baling wire” (O’Reilly, 1998).

According to Rob Richie of the Canadian Pacific Railroad, deregulation also contributed to the congestion railroads found themselves struggling with in the 1990s, as deregulation “created such a premium on eliminating excess cost [because] you could compete for the first time on the basis of efficiency” (Klein, 2011, p. 422). As the railroads were deregulated, competition lowered rates, pushing each railroad to acquire as much business as possible (Klein, 2011).

Indeed, growth of economy in the 1990s had increased congestion on all railroads (Klein, 2011). The 30% increase in demand that came during the decade was unexpected by railroads who had long suffered decreasing demand (Klein, 2011). The four major railroads remaining in the industry, including Union Pacific who announced plans in 1998 to spend 2.4 billion, realized they needed to increase spending in order to deal with the growing demand (Klein, 2011). Union Pacific made the conclusion that trying to run the railroad “too lean” employment-wise was a mistake (Saunders, 2003, p. 331).

RAILROAD REBORN

In 1999, Union Pacific’s health rebounded, helped by the rapidly growing economy and the integration of its computer systems with Southern Pacific (Klein, 2011). Operating ratio fell to 82.1 from the 1998’s abysmal 95.4 (Klein, 2011). An operating ratio consisted of operating expense as percentage of the railroad’s operating revenue (United Transportation Union, 2012). It was considered to be one of the fundamental ways to measure railroad profitability – the lower the ratio, the better the performance (United Transportation Union, 2012).

Union Pacific sold Overnite in 2003 through an IPO (Material Handling and Logistics, 2003). The company first tried to sell Overnite in 1998, but ended up withdrawing the filing due to unfavorable market conditions (Material Handling and Logistics, 2003). Union Pacific said of the merger: “In November of 2003, Union Pacific again became a pure railroad with the sale of its trucking segment” (UP, 2003). The leaders of the company concluded that the synergies they’d hoped for in 1986 had not


appeared (Klein, 2011). Overnite had sometimes performed poorly relative to the railroad: in 1992, Overnite’s operating ratio was 90.2, while the railroad’s was 79.1 (Saunders, 2003). It was possible that inadequate leadership – Overnite was initially led by individuals who had little trucking experience – had contributed to the unit’s problems (Klein, 2011).

In 2004, Union Pacific experienced another round of congestion (Phillips, 2004). According to Richard Davison, Union Pacific’s CEO, the company struggled to accommodate the increased demand on its system: “We have more demand than supply. We’re running like hell to try to keep up with volume, and our business is growing. We’ve had ten months of record volume. The gratifying part is the strength of the economy and the huge demand for our service. But the fact that we’ve disappointed a number of customers puts a little cold water on our euphoria. The lack of resources and qualified personnel has offset strong revenues, and we haven’t put the results on the bottom line” (Klein, 2011, p. 421). Union Pacific hired and trained thousands of employees to better deal with the increased demand (Phillips, 2004). During the year, revenues went up by 664 million from 2003, but net income shrank by 981 million (UP: 2007 Annual Report, 2007). Meanwhile, the operating ratio increased from 81.5 to 89.4 (UP: 2007 Annual Report, 2007). One advantage of increased demand is that it made the industry’s old enemy – trucking – far less of a threat. According to New York Times writing in 2004, the trucking industry would not have the capacity to take over “even a small part” of the Asian import trade that now moved by rails in United Sates (Phillips, 2004).

Dennis Duffy, head of Union’s Pacific Operating department, realized that the industry has fundamentally changed (UP, 2010). He stated: “We came from a cost-control, low-return industry to a major growth industry, which to me is just accelerating. It’s exhilarating… I have the utmost confidence that it’s going to be the best time in this industry” (Klein, 2011, p.424). J. Michael Hemmer had served as Senior Vice President of Law and General Counsel for Union Pacific (Bloomberg Businessweek, n.d.) Hemmer remembered sitting in a bar in 1970s “speculating about whether there would be a railroad industry in 2000. We had serious doubts about that… Government regulation was too severe, labor conditions were intolerable. We were being required to operate services that didn’t make any sense, we couldn’t price to market, and many of us believed that the railroad industry would die” (Klein, 2011, p. 424). UNION PACIFIC TODAY

2012 was the most profitable year Union Pacific had ever had: its operating revenue was $20.9 billion, 7% higher than in 2011 (UP, 2012). The net income was also a record $3.9 billion (UP, 2012). Moreover, it was the first year in which the company achieved an operating ratio below 70 percent: 67.8, a 2.9 point improvement from 2011 (UP, 2012). The company had 50,753 total track miles and 31,898 route miles, up from 9,473 in 1969 (Klein, 2011; UP, 2012). In that time, Union Pacific had changed its strategy from expansion into non-railroad subsidiaries to that of “a pure railroad” and had been completely transformed by technology (Klein, 2011). See Exhibit A for Union Pacific’s selected financial data (operating revenue, net income, operating ratio and number of employees) for years 1991-2012. The railroad’s business mix consisted of the following categories: Agricultural, Automotive, Chemicals, Coal, Industrial Products and Intermodal (UP, 2013f).

In 2012, agricultural products constituted 17% of Union Pacific’s freight revenue (UP, 2013f). Union Pacific linked the midwestern and western grain producing areas to export terminals in Gulf coast and northwest ports, as well as Mexico (UP, 2013f). The company also served domestic grain processor, animal feed, and ethanol markets throughout the midwest, west, south, and Rocky Mountains (UP, 2013f). Union Pacific had an agreement with Ralex and CSX Transportation (a railroad located in the eastern states) to transport fresh produce from the west coast to the state of New York in a service called Produce Railexpress (UP, 2012; UP, n.d.b.). Express Lane was an expedited train service created with CSX Transportation to ship food products from California and Northwest to locations across the eastern half of the United States (UP, 2012; UP, n.d.a.).


Automotive products constituted 9% of Union Pacific’s freight revenue (UP, 2013f). Union Pacific was the biggest auto transporter west of the Mississippi River, carrying both finished cars and auto parts (UP, 2012). About 70% of new vehicles were delivered by rail, and Union Pacific carried about 75% of this traffic in the western part of the country (UP, 2012). The company expected to see growth associated with Mexican car assembly production: an increase in northbound car shipments, as well in parts shipments traveling both north and south (UP, 2012).

In 2012, chemicals made up approximately 16% of Union Pacific’s freight revenue (UP, 2013f). Chemical shipments included three general categories: Petrochemicals (industrial chemicals, plastics and petroleum products), fertilizer, and soda ash (UP, 2013f). About two-thirds of Company’s chemicals business originated from or traveled to the chemical producing areas along the Gulf Coast (UP, 2013f). Bakken Shale formation in North Dakota and Permian and Eagle Ford shale formations in Texas were the primary sources of petroleum products (UP, 2013f).

Coal and petroleum coke shipments constituted 20% of the 2012 freight revenue (UP, 2013f). 74% of this traffic originated in the Southern Powder River Basin of Wyoming (UP, 2012). Another 14% originated in the Uinta Basin region of Colorado and Utah (UP, 2012). By using ports and interchange gateways, UP shipped coal to eastern US, Mexico, Europe, and Asia (UP, 2013f). Union Pacific provided rail-to-barge, rail-to-ocean vessel, and rail-to-lake cargo vessel transportation in addition to all-rail transportation (UP, n.d.c.). The company also worked with multiple rail-to-river barge transfer services on the Ohio and Mississippi rivers (UP, n.d.c.).

Shipments of industrial products made up 18% of freight revenue in 2012 (UP, 2013f). Industrial products included construction products, consumer goods, minerals, metals, lumber, paper, and miscellaneous products (UP, 2012). Volume of shipment of steel and construction products was driven primarily by commercial and highway construction (UP, 2013f). Drilling for gas and oil created demand for shipments of steel, pipes, frac sand and other drilling products (UP, 2013f). Demand by manufacturing, consumers, and housing builders generated the business for other industrial products (UP, 2013f).

Union Pacific’s Intermodal business included the international and domestic shipping category and made up 20% of 2012 freight revenue (UP, 2013f). “Intermodal” meant involving the coordinated usage of two or more distinct modes of transport (US Postal Service Office of Inspector General, 2012). For example, a shipment could have been picked up at its starting location by truck, have traveled by rail for most of its journey, and then was once again taken to its final destination by truck (US Postal Service Office of Inspector General, 2012). Domestically, Union Pacific picked up and delivered containers and trailers for intermodal marketing companies and truckload carriers (UP, 2013f). International business involved delivering import or export container traffic that arrived and left through West Coast ports (UP, 2013f). See Exhibit B for Union Pacific’s freight revenue by business category for years 2001 through 2012.

Demand for railroads was expected to grow both due to growth in the world economy and expanding US population (UP, 2011). In its 2010 10-K, Union Pacific wrote: “One clear opportunity comes from an expanding global economy and greater international demand for freight transportation, which already accounts for almost one third of UP’s revenue base. The growing U.S. population alone is expected to increase freight demand 30 percent over the next 20 years and further crowd our highways. The Department of Transportation recognized that need when it set the goal of developing strategies to attract 50 percent of all shipments 500 miles or greater to intermodal rail. They see what we see every day – America needs more rail” (UP, 2011, p.3). THE INTERVIEW, CONTINUED

Shawntell Kroese only took a few instants collect her thoughts in order to answer John’s question: “I know Union Pacific has been doing very well recently, with record earnings and everything. I was wondering… Do you think you’ll end up expanding into the trucking industry?”

Shawntell began to speak: “Well, I think…”


APPENDIX

EXHIBIT A UNION PACIFIC, SELECTED FINANCIAL DATA (1991-2012)

2012a 2011a 2010a 2009a 2008a 2007b Operating revenues (millions) 20,926 19,557 16,965 14,143 17,970 16,283 Net income (millions) 3,943 3,292 2,780 1,890 2,335 1,855 Operating ratio (%) 67.8 70.7 70.6 76.1 77.4 79.3 Average employees (000) 45.9 44.9 42.9 43.5 48.2 50.1

2006b 2005b 2004b 2003b 2002c 2001c Operating revenues (millions) 15,578 13,578 12,215 11,551 12,491 11,973 Net income (millions) 1,606 1,026 604 1585 1,341 966 Operating ratio (%) 81.5 86.8 89.4 81.5 9 80.7 Average employees (000) 50.7 49.7 48.3 46.4 60.9 61.1

2000c 1999c 1998c 1997c 1996c 1995c Operating revenues (millions) 11,878 11,237 10,514 11,079 8,786 7,486 Net income (millions) 842 810 -633 432 904 946 Operating ratio (%) 82.3 82 95.4 87.4 79.1 78.1 Average employees (000) 61.8 64.2 65.1 65.6 54.8 49.5

1994c 1993c 1992d 1991d Operating revenues (millions) 6,492 6,002 5,773 5,687 Net income (millions) 546 530 456 -123 Operating ratio (%) 77.9 79.1 79 80.4 Average employees (000) 45.5 44 42.8 43.8

Sources: a) Union Pacific. (2013). Unites States Securities and Exchange Commission form 10-K. Retrieved from http://www.up.com/investors/attachments/secfiling/2013/upc10k_020813.pdf b) Union Pacific. (2007). Annual Report. Retrieved from http://www.up.com/investors/attachments/annuals/2007/annual_report.pdf c) Union Pacific. (2002). Annual Report. Retrieved from http://www.up.com/investors/annuals/02annual/annual_report_02.pdf d) Union Pacific. (2000). Annual Report. Retrieved from http://www.up.com/investors/annuals/00annual/tenyear.shtml


EXHIBIT B UNION PACIFIC, FREIGHT REVENUE BY BUSINESS CATEGORY (2001-2012)

2012a 2011a 2010a 2009b 2008b 2007b Agricultural 17% 18% 19% 20% 19% 17% Automotive 9% 8% 8% 6% 8% 9% Chemicals 16% 15% 15% 16% 15% 15% Coal (Energy before 2010) 20% 22% 22% 23% 22% 20% Industrial 18% 17% 16% 16% 19% 20% Intermodal 20% 19% 20% 19% 18% 19% Total Freight Revenues (millions) 19,686 18,508 16,069 13,373 17,118 15,486

2006c 2005c 2002d 2001d Agricultural 16% 15% 14% 14% Automotive 10% 10% 11% 11% Chemicals 14% 14% 15% 15% Coal (Energy before 2010) 20% 20% 22% 23% Industrial 21% 22% 19% 19% Intermodal 19% 19% 19% 18% Total Freight Revenues (millions) 14,862 12,957 10,663 10,391

Sources: a) Union Pacific. (2013). Unites States Securities and Exchange Commission form 10-K. Retrieved from http://www.up.com/investors/attachments/secfiling/2013/upc10k_020813.pdf b) Union Pacific. (2009). Unites States Securities and Exchange Commission form 10-K. Retrieved from http://www.up.com/investors/attachments/secfiling/2010/upc10k_021710.pdf c) Union Pacific. (2007). Annual Report. Retrieved from http://www.up.com/investors/attachments/annuals/2007/annual_report.pdf d) Union Pacific. (2002). Annual Report. Retrieved from http://www.up.com/investors/annuals/02annual/annual_report_02.pdf

REFERENCES Bloomberg Businessweek. (n.d.). J. michael hemmer. Retrieved from

http://investing.businessweek.com/research/stocks/people/person.asp?personId=10244337&ticker=UNP

Klein, M. (2011). Union Pacific: The reconfiguration : America's greatest railroad from 1969 to the present. New York: Oxford University Press.

Lehman Brothers Collection. (2012). Penn central transportation company. Retrieved from http://www.library.hbs.edu/hc/lehman/chrono.html?company=penn_central_transportation_company

Material Handling & Logistics. (2003, September 22). Union pacific spins off overnite. Retrieved from http://mhlnews.com/transportation-amp-distribution/union-pacific-spins-overnite


National Park Service. (2002, February 14). American diesel-electric locomotives. Retrieved from http://www.nps.gov/history/history/online_books/steamtown/shs5.htm

Ohio History Central. (n.d.). Panic of 1893. Retrieved from http://www.ohiohistorycentral.org/w/Panic_of_1893

O'Reilly, B. (1998, March 30). Union pacific in its glory days. Fortune Magazine. Retrieved from http://money.cnn.com/magazines/fortune/fortune_archive/1998/03/30/240141/index.htm

Phillips, D. (2004, March 31). Freight-car congestion is worrying union pacific. New York Times. Retrieved from http://www.nytimes.com/2004/03/31/business/freight-car-congestion-is-worrying-union-pacific.html?src=pm

Saunders, R. (2003). Main lines: Rebirth of the North American railroads, 1970-2002. DeKalb: Northern Illinois University Press.

Solomon, B. (2007). Intermodal railroading. St. Paul, MN: Voyager Press/MBI Pub. Stover, J. F. (1970). American railroads. Chicago: University of Chicago Press. Union Pacific. (2003). Year in review. 2003 Fact Book, 3. Retrieved from

http://www.up.com/investors/factbooks/2003/review.pdf Union Pacific. (2007). Annual Report. Retrieved from

http://www.up.com/investors/attachments/annuals/2007/annual_report.pdf Union Pacific. (2010, July 30). Union pacific announces dennis j. duffy to retire; lance m. fritz appointed

executive vice president - operations. Retrieved from http://www.uprr.com/newsinfo/releases/human_resources/2010/0730_duffy.shtml

Union Pacific. (2011). Unites States Securities and Exchange Commission form 10-K. Retrieved from http://www.up.com/investors/attachments/secfiling/2011/upc10k_020411.pdf

Union Pacific. (2012). Analyst Fact Book. Retrieved from http://www.up.com/investors/attachments/factbooks/2012/fact_book.pdf

Union Pacific. (2013a). Building a road. Retrieved from http://www.up.com/aboutup/history/overview/building_road/index.htm

Union Pacific. (2013b). Chronological history. Retrieved from http://www.up.com/aboutup/history/chronology/index.htm

Union Pacific. (2013c). Diesel-electric locomotives. Retrieved from http://www.up.com/aboutup/special_trains/diesel-electric/index.htm

Union Pacific. (2013d). Past and present railroad job descriptions. Retrieved from http://www.up.com/aboutup/history/past-present_jobs/index.htm

Union Pacific. (2013e). Post-construction. Retrieved from http://www.up.com/aboutup/history/overview/post-construction/index.htm

Union Pacific. (2013f). Unites States Securities and Exchange Commission form 10-K. Retrieved from http://www.up.com/investors/attachments/secfiling/2013/upc10k_020813.pdf

Union Pacific. (n.d.a). Express lane. Retrieved from http://www.uprr.com/customers/ag-prod/exlane/index.shtml

Union Pacific. (n.d.b). Produce railexpress. Retrieved from http://www.uprr.com/customers/ag-prod/produce_railexpress.shtml

Union Pacific. (n.d.c). Southern illinois mines. Retrieved from http://www.uprr.com/customers/energy/coal/illinois/index.shtml

United Press International. (1985, September 27). End of the line for railroad firemen?. Retrieved from http://articles.chicagotribune.com/1985-09-27/business/8503050693_1_passenger-trains-disputes-board

United Transportation Union. (2012, April 23). First quarter 2012 rail profits wrap-up. Retrieved from http://utu.org/2012/04/23/cn-cp-csx-up-reporter-1q-profits/

UP unloading truck unit. (1998, May 21). CNNMoney. Retrieved from http://money.cnn.com/1998/05/21/deals/overnite/

US Postal Service Office of Inspector General. (2012, July 16). Strategic advantages of moving mail by rail. Retrieved from https://www.uspsoig.gov/foia_files/rarc-wp-12-013.pdf


UNION PACIFIC: THROUGH DEREGULATION & BEYOND – INSTRUCTORS’ MANUAL

Synopsis The case examines Union Pacific’s history through deregulation of the railroad industry as it faced

multiple crises and changed its strategic course. It paints a picture of an industry shaped by political and legal forces, national and global economies, population growth, geography and technology. Moreover, the case illustrates how these environmental forces intersected to define Union Pacific’s competition with the trucking industry. It witnesses the transformational role played by technology. It also captures the industry’s sometimes-adversarial relationship to its labor unions. This case sets the stage for the instructor to initiate a discussion on regulation and labor unions – two controversial but nonetheless very important topics influencing business decisions. The reader is asked to consider whether entering the trucking (again) is consistent with Union Pacific’s current strategy and challenges. Target Audience

The intended audiences of this case are students in undergraduate lower-level strategic management courses. This case immerses the reader in the history of Union Pacific and the entire railroad industry, as well as the forces which have made their mark on both. The case illustrates the complexity of strategic change and may serve as a dialogue-starter on a number of controversial subjects such as regulation and unionization.

Most introductory management/strategic management textbooks will cover the concepts needed to understand this case. Hitt, Ireland, and Hoskinsson’s Strategic Management (2013, 10th edition) is one of the textbooks that could be used alongside the case. If this text is used, it is recommended that students cover, at the minimum, Chapter 2, especially “Segments of the General Environment” and “Industry Environment Analysis” sections (p. 34-68) and the Resources, Capabilities, and Core Competencies” section of Chapter 3 (p. 79-85) (Hitt et al., 2013). Research Methodology

Data was gathered using books, websites, Union Pacific financial reports, and articles. Learning Objectives

The following learning objectives may be used to guide this case: • Identify the most significant strategic issues facing a company • Understand why a firm’s strategy is important in guiding firm choices and actions • Appreciate the complexity and moral ambiguities involved in governmental regulation of

businesses. • Appreciate the complexity and moral ambiguities involved in unionization of businesses. • Learn about the transformational role that technology can play across industries, including the

railroad and trucking industries.

Discussion Questions The following questions pertaining to the case may be used in class discussion and/or as an

assignment: 1. Should Union Pacific expand into the trucking industry? Identify the company’s strategy,

sustainable competitive advantages and the most significant strategic issues facing the company in your answer.

2. Describe the positive and negative aspects of regulation in the railroad industry. Do you think the positive aspects outweighed the negative ones? Why or why not?

3. Describe the positive and negative aspects of labor unions in the railroad industry. Do you think the positive aspects outweighed the negative ones? Why or why not?


4. Technology has entirely transformed the railroad and trucking industry from its early days. What data from the case best illustrates how railroad efficiency has changed? Briefly research and describe any technology (after the introduction diesel locomotive) that had an impact on either the trucking or railroad industry (or both).

Theory Discussion

In addition to helping the instructor establish a dialogue on regulation and unions, this case may be used to practice identifying a company’s strategy and its sustainable competitive advantages. Students should study sustainable competitive advantage prior to, or concurrently with, this case. The case could then be used to reinforce and practice the application of these theories. The majority of introductory management/strategic management textbooks, such as Hitt, Ireland, and Hoskinsson’s Strategic Management (2013, 10th edition), cover the above theories and will thus work well with the case. If the Hitt et al. textbook is used, it is recommended that students cover, at the minimum, read the Chapter 2, especially “Segments of the General Environment” and “Industry Environment Analysis” sections (p. 34-68) and the Resources, Capabilities, and Core Competencies” section of Chapter 3 (p. 79-85) (Hitt et al., 2013). In particular, this case provides a good example of how influential the Political/Legal segment of the General Environment can be for an entire industry (see p. 46 in Hitt et al).

According to Hitt, Ireland, and Hoskinsson, a firm’s capabilities are a result of a combination of a firm’s tangible and intangible resources (Hitt et al., 2013). The authors note that intangible resources are “rooted deeply in the firm’s history, accumulate over time, and are relatively difficult for competitors to analyze and imitate” (Hitt et al., 2013). Core competencies are capabilities that are valuable, rare, costly to imitate, and nonsubstitutable (Hitt et al., 2013). If a core competency is sufficiently costly to imitate and nonsubstitutable, it may constitute a sustainable competitive advantage (Hitt et al., 2013). A sustainable competitive advantage may enable the firm to create value as a virtue of competency for a relatively long period of time, depending on the degree of nonsubstitutability and the cost to imitate (Hitt et al., 2013). Companies that have competencies that are not sustainable are at risk of losing market share, profitability, or the entire firm to a competitor (Hitt et al., 2013).

Recommended materials: Hitt, M. A., Ireland, R. D., & Hoskisson, R. E. (2013). Strategic management: competitiveness and globalization: concepts and cases. Cincinnati, Ohio: South-Western Centgage Learning. Discussion Questions with Answers 1. Should Union Pacific expand into the trucking industry? Identify the company’s strategy, sustainable

competitive advantages and the most significant strategic issues facing the company in your answer. Union Pacific’s strategy is now focused on growing its railroad business. As mentioned in the case,

this was not always so. In the 1970s, facing grim prospects in railroading, the company had shifted its strategy outside railroading, other than using the railroad as a “cash cow.” However, in the 1990s and 2000s railroading has gotten more profitable. In fact, the company has struggled repeatedly with too much demand, resulting in congestion on the rails and dissatisfied customers. As stated in the case, demand for railroads is projected to grow 30% over the next 20 years due to US population growth alone.

Union Pacific appears a number of capabilities that sustain its competitive advantage: ownership of unique railroad routes and equipment, customer service (based on speed and accuracy of delivery), customer relationships and contracts and railroad-specific experience and knowledge (embodied by employees). I believe that the most significant strategic issues facing the company involve protecting and growing these capabilities.

Perhaps the most significant strategic issue will be dealing with growing demand without a return of the congestion issues that damaged Union Pacific’s customer service and relationship in the mid 1990s and 2000s. Due to the opportunities Union Pacific has to grow and profit in its own industry, the need to grow and protect its customer relationships, and its past unsuccessful experience into trucking with Overnite, I believe that the best move for Union Pacific is NOT to expand into the trucking industry.


2. Describe the positive and negative aspects of regulation in the railroad industry. Do you think the positive aspects outweighed the negative ones? Why or why not?

Positives:

• Ensured predictable and consistent rate schedule for shippers • Helped the economy by maintaining lower average rates for shippers • Railroad shippers included farmers, who were able to control their prices and thus benefit

society with more affordable food • Ensured that railroads did not develop into a monopoly • Prevented price fixing and collusion by the railroad companies

Negatives: • Made the railroad industry less competitive than the trucking industry due to inflexible rates • Decreased the speed to which railroads were able to react and adjust to customer preferences • Prevented abandonment of unprofitable areas and services • Upon deregulation, introduced turbulence as railroads had to relearn to compete based on

price of service, rather than service alone On the whole, the negative aspects of regulation as it was done in the railroad industry outweighed

the positives. It seems that what damaged the railroad industry the most was the fact that the trucking industry’s infrastructure was primarily funded by taxpayer dollars. At the same time as trucking became more prevalent, regulation made the railroads less able to react to the oncoming competition. Some regulation may have been necessary to prevent abuses and collusion by the railroads but the way and the extent to which that regulation was enacted ultimately proved ineffective and necessitated deregulation.

3. Describe the positive and negative aspects of labor unions in the railroad industry. Do you think the

positive aspects outweighed the negative ones? Why or why not?

Positives: • Helped protect the safety of employees working in a potentially hazardous industry • Helped shield railroad employees from being overworked – this also protected the safety of

the public • Advocated for the advancement railroad safety over pure profit motive • Ensured adequate remuneration and benefits for railroad employees

Negatives: • Raised the railroads’ operating costs • Protected employee interests to the point of defending outdated and unnecessary practices

It is likely that the unions may have played a part in making the railroad industry less profitable. However, it is also likely that the unions increased employee safety and made the railroads more attractive places to work through their efforts. The issue of unions is a complex and controversial one. Although I am leaning towards the unions having become a bit “overzealous” with trying to retain jobs for their outdated firemen, I am not certain if union negatives truly outweighed their positives. Both unions and railroad companies have a goal in common: they both want the railroad companies to succeed and thrive. The experience of Union Pacific and other railroads illustrates how complex morally the relationship between a company and its union can become (despite a common goal). I think there many lessons to be learned – for both unions and the railroads – in what Union Pacific and other companies experienced in the 20th century.


4. Technology has entirely transformed the railroad and trucking industry from its early days. What data from the case best illustrates how railroad efficiency has changed? Briefly research and describe any technology (after the introduction diesel locomotive) that had an impact on either the trucking or railroad industry (or both). The data from the case that most dramatically illustrates the influence of technology are the “ton-

miles per employee” data from Table 1 of the case. In 1900, railroads only achieved 138,500 ton-miles per employee. In 1970, it was 1,351,590 ton-miles per employee. By 1998, an astounding 7,450,549 ton-miles per employee had been achieved. Some of the gain may have been due to factors other than technology. However, reading through the history of railroads shows that the diesel locomotive and the computer dramatically transformed the industry and its ability to be efficient.

One of the most important trends in railroading technology since the introduction of the diesel locomotive has been the gradual shift to AC motors from the DC generator (Klein, 2011). According to Union Pacific, “the introduction of alternating current technology (AC) to modern diesel-electric locomotives is expected to be as significant as the conversion from steam to diesel for railroad economics” (Union Pacific, n.d.). By Dec 1998, UP had 1,145 AC powered locomotives, 16% of its total fleet, which at that time was three times the number of that that BNSF or CSX (Klein, 2011). Since 2005, Union Pacific bought only AC-powered locomotives (Joiner, 2010). The AC locomotives are tougher, easier to control, and less expensive to build and maintain (Joiner, 2010; Railway Technical Web Pages, 2013).

REFERENCES

Hitt, M. A., Ireland, R. D., & Hoskisson, R. E. (2013). Strategic management: competitiveness and globalization: concepts and cases. Cincinnati, Ohio: South-Western Centgage Learning.

Joiner, S. (2010, February 11). Is bigger better? 'monster' trains vs freight trains. Popular Mechanics, Retrieved from http://www.popularmechanics.com/technology/engineering/extreme-machines/4345689

Klein, M. (2011). Union Pacific: The reconfiguration : America's greatest railroad from 1969 to the present. New York: Oxford University Press.

Railway Technical Web Pages. (2013, June 13). Diesel locomotive technology. Retrieved from http://www.railway-technical.com/diesel.shtml

Union Pacific. (n.d.). Special trains. Retrieved from http://www.up.com/aboutup/special_trains/


Meeting the Challenge of Knowledge Worker Shortages with Strategic Talent Management

Gloria Ferguson Pobst University of Georgia

Knowledge worker shortages are well documented and worsening in many nations. This paper explores the responses of Human Resource Organization Development (HROD) professionals regarding the issue. Findings of a content analysis of the talent management literature are presented with a focus on the research question: What talent management strategies will HROD scholars/practitioners adopt to address shortages of key knowledge workers? Recommendations include a keen focus on retention and development, as well as the need for more highly trained HROD professionals with a strategic focus to manage the increasingly complex challenges. INTRODUCTION

Talent management becomes a critical Human Resources Organization Development (HROD) strategy as knowledge worker shortages are documented in many nations and a war on talent ensues (Abdullah, 2009; Cho & McLean, 2009; Doh, Smith, Stumpf & Tymon, 2011; Holland, Sheehan & De Cieri, 2007; McDonnell, 2011; Osman-Gani & Chan, 2009). The retiring Boomers are being replaced with a smaller talent pool of workers with a different mindset regarding loyalty to their employer (Abdullah, 2009). This paper will answer the question: What talent management strategies have HROD scholars/practitioners recommended to meet the challenge of knowledge worker shortages? The paper is the result of a content analysis of literature focused on talent management within the last seven years. The discussion begins with evidence of knowledge worker shortages, and then shares talent management strategies recommended in the literature. Next, it explores how talent management may affect the future of HROD, and in the conclusions section suggestions for future action are summarized.

KNOWLEDGE WORKER SHORTAGES

The 76-million Americans in the Boomer generation, born between 1946 and 1964 (Aiman-Smith, Bergey, Cantwell & Doran, 2006), are becoming eligible for social security benefits at the rate of 10,000 per day (Galagan, 2010). The Boomers were followed by 41 million people born in Generation X between the years 1965 to 1983 (Aiman-Smith et al., 2006). The Echo Boomers born from 1984 to 2002 will be a substantial labor force, but it will be years before they will develop the substantial experience of the retiring Boomers (Aiman-Smith et al., 2006). This phenomenon is not restricted to America. A Boston Consulting Group study in 2003 estimated a worldwide skilled labor shortfall of 60 million workers by 2020, including a 17 million labor shortage in the U.S. (Holland et al., 2007).


A McKinsey research study in 1998 showed talent shortages a concern of 75 percent of top corporate management (Holland et al., 2007; Ashton & Morton, 2005). In addition to healthcare worker shortages (Heilmann, 2010; Osman-Gani & Chan, 2009) and science-related occupation shortages (Aiman-Smith et al., 2006), there is a general shortage of knowledge workers as the nature of work becomes more technically oriented and requires critical thinking (McDonnell, 2011). A good example of this more technically-oriented work is found in the manufacturing sector. In America, and other industrialized nations, manufacturing has evolved from low-skilled assembly lines to high tech processes including computers and robotics (Seeds, 2011). TALENT MANAGEMENT STRATEGIES

One definition of talent management is “anticipating the need for human capital, and then setting out a plan to meet it” (Cappelli, 2008, p. 1). Additionally, talent management includes the development of effective policies to ensure talent exists to support an organization’s overall objectives (Chhabra & Mishra, 2008). Several key strategies are identified in the literature—retention, development, recruitment, worker engagement and feedback, and mentorship. More details of each of these strategies are provided in the next sections. Retention is Priority Number One

A common theme among scholars regarding talent management strategies in general, and specifically for managing the forecasted knowledge worker shortage, is the emphasis on retention (Abdullah, 2009; Aiman-Smith et al., 2006; Ashton & Morton, 2005; Chhabra & Mishra, 2008; Strack, Baier, & Fahlander, 2008; Cho & McLean, 2009; Doh et al., 2011; Heilmann, 2010; Osman-Gani & Chan, 2009). Chhabra and Mishra (2008) recommended that organizations “move retention to number one priority and recruitment to number two” (p. 50). They reasoned recruitment is expensive and will become even more so as worker shortages intensify, especially for high-demand high-skill positions—referred to as gold-collar or elite expertise workers, including highly-skilled IT workers and engineers (Abdullah, 2009; Holland et al., 2007).

Elite-expertise workers have less interest in traditional “life-long employment and job security” (Abdullah, 2009, p. 14). Holland et al. (2007) described how these workers are keenly interested in keeping their skills sharp and having challenging projects on which to work. The high demand for these workers continues to bid up their salaries, making them a challenging group to attract, retain, and manage. However, having these workers on staff can make the difference between the organization maintaining its competitive advantage, or not. Abdullah (2009) recommended the need for further study of this elite group to find more effective and cost-effective strategies to ensure HROD professionals are able to provide appropriate staff for their firms.

A retention strategy for elite-expertise workers and other high-performing workers is to “re-recruit top performers before they get a better offer” (Chhabra & Mishra, 2008, p. 51). Re-recruitment includes having regular discussions with top performers to remind them of their value, future opportunities in the firm, and solicit their feedback. This could also be considered part of an engagement and feedback strategy which will be described in a later section.

Talent Development

Data from the US Department of Labor and Merck showed “investing in staff is far less expensive than replacing them, which is estimated to cost about one-and-a-half years of a departing staffer’s annual salary” (Chhabra & Mishra, 2008, p. 50). The IT Industry’s success in India and South Korea has been attributed to the wealth of its human capital resulting from a corporate strategy of training and growing employees (Cho & McLean, 2009). The Infosys 2008 annual report stated “Our core corporate assets walk out every evening. It is our duty to make sure that these assets return the next morning, mentally and physically enthusiastic and energetic” (Cho & McLean, 2009, p. 321). Chhabra and Mishra (2008) identified several options for developing talent such as “stretch assignments, cross-unit projects, job


rotations, publications, patents” (p. 54). They noted the importance of supervisors explicitly asking workers what motivates them, and what growth opportunities individual workers seek, since the meaning of motivation and growth opportunities is unique to each individual. Research has shown if a firm develops a reputation for developing workers and ensuring their long-term employability, that firm will be able to attract more talented people (Cho & McLean, 2009). McDonnell (2011) suggested that workers be offered an incentive for lateral moves which provide growth for the employee and greater depth of social capital for the firm.

Recruitment

A corporate leader summarized his belief in attracting the best workers in this way:

We believe that we can do with people who do not have experience in a particular role, but we cannot do with people who do not have basic competence…We firmly believe the smarter our people, the better our organization will perform. So we surround ourselves with high performing people! (Doh et al., 2011, p. 37)

Senior management’s job has been summarized as having to continuously refine the employee value proposition by knowing “why a smart, energetic, ambitious individual would want to come and work with the particular team/organization rather than the team next door” (Chhabra & Mishra, 2008, p. 54). Retaining the best includes managing poor performers since poor performance hurts morale and breeds more weak performance (Chhabra &Mishra, 2008). Through well-planned and implemented retention and development strategies, a company will develop a reputation as being an employer-of-choice (Abdullah, 2009), which then helps the firm recruit new employees. A firm with a good reputation will have an easier time recruiting elite-expertise workers as well—the elite-expertise worker may return to the firm after having worked at another firm, and may refer fellow elite-expertise workers to the firm (Abdullah, 2009; Holland et al., 2007). Worker Engagement and Feedback

A study conducted by Towers Perrin in 2008 regarding employee engagement and retention showed that senior management’s ability to communicate genuine interest in workers was the top driver of worker engagement (Doh et al., 2011). The same research found more-engaged workers were more likely to stay with the company, and firms with more-highly-engaged workers outperformed firms with less-engaged employees in operating income, net income growth and earnings per share (Doh et al., 2011).

Engaging with older workers is a key strategy in managing knowledge worker shortages (Stam, 2009; Strack et al., 2008). Older workers provide key experience and, contrary to persistent assumptions, are often more productive than their younger counterparts (Stam, 2009). The best of both worlds can be achieved through mentoring—when older workers share their experience and younger workers share their more up-to-date technical skills in an inter-generational learning network (Stam, 2009). Engaging with older workers increases the likelihood of retaining them as long as possible, as well as having access to those older workers in a freelance capacity after they have retired (Strack et al., 2008; Stam, 2009).

Another key group of workers firms cannot afford to ignore is women. Shapiro, Ingols, Blake-Beard and O’Neill (2009) surveyed 389 women attending a women’s leadership conference. Their findings showed that “women have become career self-agents, deciding when, where and how many hours to work” (p. 54). Of course, it is not just women who are seeking flexible work arrangements. All workers today, especially younger generation workers, are seeking more balance in their lives (Shapiro et al., 2009). Shapiro et al. (2009) noted several organizations who are leading the transformation of the workplace (p. 55):

• Best Buy and Deloitte & Touche USA LLP are working on cultures that focus on productivity, not face time.

• IBM has created a program called “Six Flexibility Principles” to address employee and business needs.


• Capital One Financial Corporation has established a culture they call “Future of Work” (FOW) which enables its employees to work virtually.

• SC Johnson & Sons has a “no meetings policy” on two Fridays per month to lessen the need for workers to take work home over the weekend.

Another crucial element of talent management is feedback systems. Chhabra and Mishra (2008)

clarified this is more than performance feedback from supervisor to employee. It also includes systematic, continuous feedback from employees regarding the many aspects of the organization, such as corporate culture, the work environment, training programs offered, compensation package, supervision and overall communication.

Mentorship

Data from the Center for Creative Leadership showed that mentoring programs increased retention in 77 percent of companies surveyed. The research of Aiman-Smith et al. (2006) showed of those employees not receiving mentoring, about one-third looked for another job within one year of starting employment. As previously indicated, mentorship is an effective way of engaging with highly-skilled older workers and helping the firm retain that knowledge by transferring it to less experienced employees in a systematic way. Therefore, mentorship can be an extremely valuable element of any talent management program, providing a benefit for the new worker, the older worker, and the company overall.

EFFECTS OF TALENT MANAGEMENT ON THE FUTURE OF HROD

Sosbe (2007) predicted that talent management will become a broad function integrating training and development and all human resource operations. He cited a research study conducted by the American Society for Training & Development (ASTD) and Brandon Hall Research in which 60 percent of the 340 HR leaders responding to the online poll stated they believed training and HR operations were converging in their firms, and 90 percent felt the trend will continue. A quote from Scotty King, former director of global learning and development for CitiGroup provides evidence of this convergence:

Human resources at Citi are all about talent. We are a company whose product is the creativity and expertise of our people, so we really do view learning as part of the manufacturing process of the product that we offer. Learning needs to be a strategic lever for our business leaders. (Sosbe, 2007, p. 38)

So, how will HROD keep pace with these changes? HROD professionals must constantly review their own skills sets and develop personal career development plans to remain relevant in the fast-changing world (Osman-Gani & Chan, 2009). Areas of weakness found among HROD professionals include strategy formulation, partnering/consulting skills, financial, project management, cross-functional experiences, and general understanding of business (Osman-Gani & Chan, 2009). Peter Cappelli (2008) would add that HROD leaders need to become familiar with just-in-time manufacturing principles and develop a talent-on-demand system. Cappelli’s proposal includes four principles: (1) “make and buy to manage risk,” meaning develop talent and plan on recruiting any shortfall; (2) “adapt to the uncertainty in talent demand” by streamlining development programs; (3) “improve the return on investment in developing employees” by asking employees to invest in themselves, and also staying in touch with former employees to possibly bring them back; and (4) “preserve the investment by balancing employee-employer interests” by involving employees in advancement decisions (Cappelli, 2008, p. 78).

CONCLUSIONS

Organizations of all types need to assess their basic staffing issues and ask what their organizations will look like a decade from now if they do nothing (Aiman-Smith et al., 2006). It is imperative that firms


assess their risk sooner rather than later since “many companies will realize that they must undertake a monumental, multiyear change-management program” (Strack et al., 2008, p. 128). Cappelli (2008) proclaimed “every talent management process in use today was developed half a century ago. It’s time for a new model” (p. 74). He proposed his “talent-on-demand” framework was such a model and one which deals with today’s ever increasing uncertainty. The literature shows proactive leadership and strategic planning are paramount to managing knowledge worker shortages. And, a key element of any strategic plan must be talent management—retention, developing talent, recruiting the best and re-recruiting them to ensure they stay, engaging with workers by providing and being receptive to feedback, and developing mentorship programs. Now is the time for talent management to take top priority in organizations across the globe to ensure strategic goals and customers’ needs are met, both of which will ensure the continuing operations of those organizations.

REFERENCES Abdullah, H. (2009, Summer). Major challenges to the effective management of human resource training

and development activities. Journal of International Social Research, 2(8), 11-25. Aiman-Smith, L., Bergey, P., Cantwell, A. R., & Doran, M. (2006, July-August). The coming knowledge

and capability shortage. Research Technology Management, 49(4), 15. Ashton, C., & Morton, L. (2005, July-August). Managing talent for competitive advantage: Taking a

systemic approach to talent management. Strategic HR Review, 4(5), 28-31. Cappelli, P. (2008). Talent management for the twenty-first century. Harvard Business Review, 86(3), 74-

81. Chhabra, N. L., & Mishra, A. (2008). Talent management and employer branding: Retention battle

strategies. ICFAI Journal of Management Research, 7(11), 50-61. Cho, Y., & McLean, G. N. (2009, July). Leading Asian countries’ HRD practices in the IT industry: A

comparative study of South Korea and India. Human Resource Development International, 12(3), 313-331.

Doh, J. P., Smith, R. R., Stumpf, S. A. & Tymon, Jr., W. G. (2011). Pride and professionals: Retaining talent in emerging economies. Journal of Business Strategy, 32(5), 35-42.

Galagan, P. (2010). Bridging the skills gap: New factors compound the growing skills Shortage. T+D, 64(2), 44-49.

Heilmann, P. (2010). To have and to hold: Personnel shortage in a Finnish healthcare organization. Scandinavian Journal of Public Health, 38, 518-523.

Holland, P., Sheehan, C. & De Cieri, H. (2007, September). Attracting and retaining talent: Exploring human resources development trends in Australia. Human Resource Development International, 10(3), 247-262.

McDonnell, A. (2011). Still fighting the “war for talent”? Bridging the science versus practice gap. Journal of Business & Psychology, 26(2), 169-173.

Osman-Gani, A. M., & Chan, T. H. (2009, February). Trends and challenges of developing human capital in Singapore: An analysis of current practices and future potentials. Human Resource Development International, 12(1), 47-68.

Seeds, D. (2011). Scouting for talent: What the shortage in skilled manufacturing workers means to a hungry industry. Smart Business St. Louis, 4(7), 6-9.

Shapiro, M. M., Ingols, C. C., Blake-Beard, S. S., & O’Neill, R. R. (2009). Canaries in the mine shaft: Women signaling a new career model. People and Strategy, 32(3), 52-59.

Sosbe, T. (2007). Synergizing HR and training. T+D, 61(6), 36-40. Stam, C. (2009). Knowledge and the ageing employee: A research agenda. Proceedings of the European

Conference On Intellectual Capital, 435-441. Strack, R., Baier, J., & Fahlander, A. (2008). Managing demographic risk. Harvard Business Review,

86(2), 119-128.


Let’s Take Another Look at Quality

Barry L. Wisdom Missouri State University

Teaching both Organizational Behavior (OB) and Operations Management (OM) for over thirty years has created an awareness of a perceived disconnect regarding the treatment of quality by these two different management disciplines. OM has been a leader in the field of quality, however, those teaching OB have been less engaged in the topic. This article discusses the different perspectives held by OB and OM; presents a conceptual model for the consideration of OB professionals; and discusses how the model might lead to a greater understanding of the role quality could play in the classroom and the workplace.

INTRODUCTION

For over thirty years I have been in the unique position of teaching both Organizational Behavior (OB) and Operations Management (OM). These are often viewed within academia as two very disparate disciplines attended to by different academic animals. One group might be characterized as being sensitive, touchy-feely, and humanistic; with the other group better viewed as being analytical, objective, and mechanistic. This is obviously a brash overgeneralization; however, it is hard to deny that both groups do come to the party with some baggage. Two conclusions I have drawn through these years of observation are first of all, that quality plays a vital role in all types of businesses and OM professionals greatly appreciate this. Secondly, that OB professionals could, and perhaps should, make a significantly greater contribution in the area of quality than they are presently making by changing the way they approach the topic conceptually and deal with it in their textbooks, classrooms, and training grounds.

It may well be the case that a closer, more functional relationship between these two groups with regard to their treatment of quality would be of benefit to many. This piece will focus on the topic of quality; examine its importance for contemporary organizations; look at the regard, or lack thereof, with which each discipline holds quality; and propose a model for OB educators that might facilitate more and stronger quality behaviors in the workplace. This appears a worthwhile goal as both disciplines bear responsibility for the preparation of future leaders who will in turn be held responsible for organizational outcomes.

THE IMPORTANCE OF QUALITY

Quality has long been recognized by operations managers as a driver for sales, profitability, and

market share. A testament to their respect for the topic is reflected by the fact that it is common practice for OM textbooks to contain not one chapter on quality, but often two. One chapter will typically address the role that quality plays in the strategic and competitive considerations of the firm. The other chapter will deal with the technique of quality assurance covering such topics as statistical quality control, control


charts, six sigma programs, etc. An examination of OB textbooks reveals a different picture. In the field of OB, quality is seldom addressed with the exception of a few passing references to tangential topics such as quality of work life or quality circles. This disparity in coverage speaks volumes with regard to the relative importance of quality to the two groups. The fact that OB seems relatively indifferent to quality seems strange given that as much as eight percent of the economy is now tied to the service sector. This is a dramatic change from the third of the economy occupied by services a century ago and sixty percent some fifty years ago. If one considers the origins of quality in the service sector it would seem that it is largely impacted by the subjective interpretation of a customer’s perception of an interpersonal encounter. In other words, in the service sector, behaviors determine quality. It seems time for a redefinition of quality that shadows this trend.

From a national perspective, quality can be a foundational concept that makes its way from the factory and becomes part of the cultural backbone. Nowhere might you find a better example than in Japan. We should never forget the contribution made almost 70 years ago by an educator by the name of J. Edwards Deming. His post-World War II lectures on the importance of quality were received by the Japanese people with such conviction that they would implant within the culture and become an ongoing and pervasive part of it. Awarding of the Deming Prize in Japan, the nation’s top prize in recognition of quality, is still an event that garners rock star status. It’s been said that most Japanese workers will stay after hours without pay to make repairs should bad units be returned to their work stations. The amazing thing is that they will do so not out of fear of reprisal or punishment, but because they feel it is the right thing to do. Do we hold quality in the same regard in the U.S.? Is this the cultural attitude that we reflect? These are questions worth asking.

At a more micro level, ongoing trends in the workplace might suggest that this lack of regard for quality shown by the OB community might be inappropriate and even viewed by some as a dereliction of duty. With the growth of the service sector we have witnessed the behavioralization of the workplace. When workers are making widgets, their behavioral skill package is somewhat irrelevant to the process. It doesn’t matter if they are in a foul mood or are filled with anger and resentment. It also doesn’t matter if their factory home is in an industrial park on the outskirts of town, an old red brick structure in the heart of the city, or a prefabricated building deep in the woods. The odds are that they are never going to see the customer that might be the future owner of their product. This can’t be said for the growing service sector. The workers now often find themselves in immediate proximity to the customer or client. They are face to face, eye to eye, or at least ear to ear and that sour mood or lack of sincerity will now register as a strongly perceived negative in the eyes of the customer.

To cloud the picture even more, the measurement of quality has become much more complex. No longer are hard data available that might come from the post mortem of a sample of finished product, such as weight, length, height; now the measure needs to consider such elements as satisfaction, attitude, desire to please, or the ability to establish a connection that might foster an ongoing relationship.

The question becomes, how do we understand the drivers of quality? If by definition quality is something better than average, then what is the decision process through which people go as they portion out the energy and attention that they have to spend in a given day? What are ways in which a manager might construct a work environment that is more conducive to patterns of quality friendly behaviors? How might those behaviors present themselves and be acknowledged? Finally, how might consequences be employed that would modify negative behaviors and sustain the strength and frequency of the most desirable ones? The model proposed suggests an approach that examines essential preconditions, a variety of quality behaviors, and the role of sustaining consequences. A BETTER DEFINITION FOR QUALITY

Managers and organizations need to adopt differing definitions of the term quality. In the historical development of quality there has been little if any mention of quality as a behavioral phenomenon nor much mention of the roles individual behavior, group behavior, or organizational support play in the achievement of quality. If any common thread unites the more popular definitions of quality today it is a


tendency to define quality exclusively in terms of characteristics of outcomes that have already occurred. If one wishes to have an optimum impact on quality, a more promising approach seems to be one which focuses on antecedents instead of outcomes and therefore prevention instead of detection. A behavioral framework for quality should rest on a definition recognizing quality as a dynamic behavioral process instead of a finished product. With this viewpoint adopted, the relevance of the OB body of knowledge becomes more obvious and the potential for an increased contribution is greatly expanded.

In the study of organizational behavior, considerable attention is given to the mechanics by which behavioral processes occur - for example: what makes people motivated or satisfied; what gives rise to conflict; or how is communication effectiveness enhanced? In fact, the explicit goal of the study of OB as stated by Fred Luthans, a leader for years in the writing of OB texts, is to understand, predict, and control such behaviors in contemporary organizations. Quality as described above, seems like a natural for increased inclusion and development in the mainstream OB body of knowledge.

To further appreciate the goodness of fit between quality and OB, take a look at Webster's rather lengthy definition of quality. One finds it replete with superlatives such as excellent, fine, high grade, superior, and distinguished−all of which underscore quality as something above average. The implication is that in most cases an individual or a group within an organization must put forth an effort in excess of the norm in order to achieve quality, regardless of the capacity in which they are making a contribution, be it services or manufacturing. It is the extra attention given to a shipment of materials by a receiving in-spector; it is the added effort a production worker expends to make sure an assembly is put together just right; it is the few more minutes a worker takes to reassure an anxious patron; or it is the last test that a team of design engineers conduct before calling a new design complete. As defined to fit within the proposed behavioral framework, quality is created through the interaction of people with their jobs and with other people. It is the fruit of a behavioral process. As such, it seems a worthy candidate for increased attention by educators, researchers, and writers in the field of OB.

TOWARD A BEHAVIORAL FRAMEWORK FOR QUALITY

A behavioral framework for quality requires more than changing the definition of the term, though this is an essential first step. It also requires more than the focus of attention, or the assignment of blame, on the actions of individuals. It requires the construction of a supporting structure that serves to organize our thoughts about the topic and to facilitate integration of existing knowledge. The framework proposed in this article is simple and builds upon operant conditioning and learning theory. The general dimensions of this framework are discussed first, followed by a discussion of the framework's operationalization.


Essential Preconditions The overarching structure of the model calls first for the creation of certain essential preconditions. A

focus on quality may not be a given in all organizational cultures so foundational work may need to be done in this area. It is therefore the responsibility of management to tell the quality story and let employees know what part they must play in it. Quality must be explicit in the statement of goals and objectives. It should be a facet of performance assessed and discussed at each performance review. Everyone should know the targets for which they should aim and be aware of how close they are to hitting the mark.

If employees don’t have the skills that are necessary for quality goal achievement, then training becomes essential. It is one thing to know what needs to be done - it is a totally different thing to know how to do it. Not everyone is adept at effective listening, accurate reflection, verbal engagement, or whatever skills are paramount in a given organization for example. For some, these skills need to be trained and nurtured. The burden that falls on the training staff may be somewhat mitigated through careful selection in the first place. The implication here calls for better selection instruments that will paint an accurate picture of potential employee aptitudes as well as abilities with regard to behaviors of specific interest to the organization.

Finally, the organization through their managers must foster clear and explicit expectations as to how jobs will be done and employees will perform. If the goals are properly set and the training has been sharp and well executed, then employees are more likely to develop positive performance expectations. They should envision being able to work in such a way that success is not just possible, but probable. Confidence or self-efficacy should become a more common characteristic of the workforce. Quality Behaviors

Now that the stage is set, it is time for the quality behaviors to occur. Just as many OB classes and textbooks progress from a focus on the individual−to the group−to the organization, so might the topic of quality be approached conceptually and pragmatically. First of all it should be noted that the model recognizes the dynamics arising from these different levels of aggregation. This hierarchical perspective promotes the recognition that individual and group quality behaviors occur not in isolation from one another but together and within a cultural context provided by the organization. Organizational culture sets the stage for the employee expectations to occur. Just as in good stagecraft, if the lighting is good, the actors can better see where to go. If the scenery is appropriate than the story line is supported. And, if the acoustics are right then all the groups and individuals involved can clearly hear the message the author wishes to convey.

That message will be different for different organizations as the ever widening circle of services available expands. Accuracy and attention to detail may be paramount in some organizations where creativity or entertainment value or technical support may be the central theme elsewhere. A keen awareness of customer expectations in a context of competitive options may provide a guiding light to keep a company focused on the appropriate target.

Sustaining Consequences

It is human nature that people will do what they are rewarded for doing. The strong suggestion here is to study reward systems to ensure that rewards are in fact triggered by events that are worthy of reward. Is meeting one’s quota reward worthy or is meeting one’s quota of quality units the standard employed? The difference may seem trivial but only one of the two practices gives any credence to the importance of quality. Is time on the job the criteria for promotion, or is it the recognition of quality driving behaviors like consistent customer focus and attention that serves as the promotion activator.

Another assessment might involve an examination of your organization’s star performers. What did they do to deserve their status as a star? How big a role did quality related behaviors play in their selection? In what regard are the corporate elite held by the other employees? If quality does not play a major role in this analysis, then the system may be flawed. If the employees do not share management’s


respect for the star, of what ongoing value is this celebrity? Hopefully the person identified and the behaviors modeled will be a guide for all to follow.

What are the actual rewards that you are providing? The law of diminishing returns is said to apply to monetary rewards. As people make more money, the desirability of an additional unit of money tends to decrease over time as an economic satiation occurs. Public acknowledgement, praise, and recognition are things with which most people do not satiate. When was the last time you heard someone complain about receiving too much positive praise or recognition? The manager who is quick to praise an employee caught in the act of doing something positive with regard to quality, is probably going in the right direction. Do not read this, however, as recommending an overly zealous explosion of indiscriminant positive regard as this may cause problems. If the managers’ praise is seen by the employees as being undeserved or insincere, employees will view it as being exploitative and manipulative and the practice will likely do more harm than good.

SUMMARY AND CONCLUSIONS

Once this framework is in place, the integration of relevant OB concepts both conceptually and in the classroom and workplace is facilitated. It is then incumbent on us as teachers and managers to encourage the students and workers to go one step further in their mastery of the concepts we teach and take the theories to the point of application relative to quality. For example, when presenting expectancy theory to a group of management students, talk about how to foster expectancies, instrumentalities, and valences impacting on quality. In discussing perceptual dynamics, talk about the increased role perception will play in customer evaluations and performance appraisal in the expanding service sector. Instead of talking about reinforcement theory and job design in generic terms, talk about them as instruments to improve and support specific quality behaviors. Instead of teaching isolated skills in training and orientation, make sure to convey how the skills are associated with customer satisfaction and quality outcomes.

OB professionals should not hesitate to provide linkages between behavioral theories and quality for fear of cheapening the intellectual experience. After all, their job is to provide future managers with tools they can use in their struggle with complex and dynamic problems. Though academicians may have limited opportunities to make the transition from theory to practice, the students they teach will have ample opportunity. They should be able to look to the field for leadership in the area of quality. OB professionals should be the ones offering the answers to the quality riddle.

Here in summary are some of the most relevant questions that every CEO should be asking of their organizations and every OB professional should be pondering as well.

**Does quality play a prominent role in your corporate culture? **Is quality referenced in your mission statement? **Can you identify high quality potential employees with your selection process? **Do you have a development and training program for those not consistently meeting quality

standards? **Are there any disconnects between individual, group, and organizational quality goals? **Are group norms in place that drive individual quality performance decisions? **Can you clearly identify your organization’s quality stars? **Are these quality stars held in high regard by a majority of your workers? **Is quality a topic at each performance review session?

If the answer to these questions is not yes, then perhaps you better take another look at quality.


The Theory and Practice of Case-in-Point Teaching of Organizational Leadership

Robert M. Yawson

Quinnipiac University

Leadership Education and Development programs at the graduate and undergraduate levels are implemented with an overall objective to prepare students for the dynamic ‘complex global working’ environment. Case-In-Point teaching in leadership education is an emerging pedagogy that is gaining ascendancy and relevance both in theory and practice. The pedagogy is predicated on the conception that leadership is a function of self-awareness and knowing oneself, ability to articulate one’s vision, capacity to create a community of trust among colleagues, and the ability to take effective action to realize one’s own potential; and that linear epistemology as a dominant and prevailing epistemology in leadership education can no longer be the dominant epistemology. This paper discusses how Case-In-Point Pedagogy can be used in teaching organizational leadership. The discussions are based on Ron Heifetz’ Case-In-Point Pedagogy as situated in the realist ontological frameworks of teaching leadership outlined in Sharon Parks’ Leadership Can Be Taught. The paper takes a look at the epistemological and conceptual framework of the Case-In-Point Pedagogy, the theory and practice of Case-In-Point Teaching, and how it could be incorporated into leadership courses. The themes and issues related to the adoption and use of Case-In-Point are outlined. BACKGROUND AND CONTEXT OF STUDY

There seems to be an emerging universal acknowledgement that leadership learning activities “need

to be grounded in the complex, difficult realities facing those who choose to exercise leadership and relevant to their developmental needs” (Johnstone & Fern 2010, p.98). What has been contentious is as to whether leadership can be taught and whether it can be learned. These complex and difficult realities Johnstone and Fern (2010) described are borne out of what Senge, Smith, Kruschwitz, Laur and Schley (2010) also described as the need for ‘the necessary revolution’ (p. iv). Senge et al. (2010) have contended that we are at the end of the industrial age and a new revolution is emerging out of the industrial ‘bubble’ and the people leading this revolution demonstrate mastery of three core areas that undergird organizational learning: learning how to see the larger systems; understanding the importance of collaborating across boundaries “that previously divided them from others within and outside their organizations”(p.44); and, “moving away from reactive problem solving mode to creating futures they truly desire”(p.44).

New leadership roles and perhaps models are needed in this transition from the bubble bust and mindset of the industrial age to the age of dynamic, complex, non-linear, interdependent environment of disequilibrium and turbulence. This is important whether developing or transforming, including effective leader/follower strategies that draw in a true diversity of voices and require leaders to maintain


intellectual flexibility and open-mindedness in the new ‘necessary revolution’(Senge et al, 2010; Sherman & Peterson, 2009). This ‘new’ leadership should be a collective process in which no single form or concept of leadership should be sacrosanct (Hickman, 2010).

To this end, leadership education has become even more crucial than ever. It helps secure our future in a global marketplace by providing students with leadership skills and personal growth opportunities. Leadership education not only enables students to become effective leaders, but also to examine and understand the philosophical and moral reasoning component of both leadership and followership (Davis, 2010). Leadership is a lifelong skill which prepares students to improve their decision-making (Davis, 2010). Most often than not undergraduate students are in a constant state of flux in their lives; a stage in life where they are thrust into making their own decisions and are in the quest for the place in the world and also developing their goals in life (Brungardt, Greenleaf, & Arensdorf, 2006). Leadership education therefore offers a unique and valuable tool that enables uncertain students to investigate their personal values, strengths, talents, and shortcomings, and to choose a direction for their lives and their place in the world.

This paper takes a look at the epistemological and conceptual framework of the case-in-point teaching (CIPT), its previous use in other programs and the lessons learned in the adoption of the approach. The themes and issues relevant to the adoption and use of CIPT are outlined. The uniqueness of the CIP pedagogy is that it takes into account the epistemology of practice in the field of leadership and does not flinch from theory. It recognizes that there is no division between theory and practice, and students learn to blend theory and practice in real-time and in an appealing finesse (Yawson, 2012). The CIPT as pedagogical framework uses the full balance of existing and emerging pedagogical features such as reflective writing, reviews and discussions, anecdotes, case studies, annotated reading, references to popular films and documentaries, critical thinking assignments all designed to help students understand what they need to do as learners, broaden their outlook about the themes and concepts outlined and to achieve expected learning and development outcomes. The use of these existing pedagogical features should necessarily attract the following questions: What is CIPT? How different is CIPT from other teaching methods and existing pedagogies? And why do we need CIP approach in teaching leadership in HRD programs. Before describing the ‘why’ and ‘how’, I will first delve into the ‘what is’. WHAT IS CASE-IN-POINT TEACHING?

Leadership education programs have over the years experimented with all kinds of approaches to teaching and the incorporation of different activities including simulations, action research, problem-based learning, cohort groups, and case studies into the pedagogy (Cox, 2007). Case studies for example are used widely in teaching leadership and although they are presented in semblance to reality; they are not true reality in the practical sense. Case studies in most instances tend to over-generalize and students may not appreciate their significance in their own lives (Cox, 2007). Avolio and Luthans (2006) have contended that although pedagogical features like simulations, action research, problem-based learning, cohort groups, and case studies contribute to learning there should be more building adaptive reflection and more development in context. Case-in-point teaching helps to capture the "moments that matter" that eventually leaders create when they become cognizant of how important they are (Avolio & Luthans, 2006).

CIPT is based on Ron Heifetz’s teaching approach succinctly described by Sharon Parks’ in her book Leadership Can be Taught on how to “prepare people to exercise the judgment and skill needed to bring that knowledge into the intricate systems of relationships that constitute the dynamic world of practice” (Parks 2005, p.5). CIPT approach therefore rests on the teacher’s ability to create an ambience in the classroom analogous to the real world setting that the students will be working in, ones that are chaotic, where the primary lesson is to facilitate the understanding of how adaptive leadership works by actually experiencing it “in the moment.” Corno, (2008) has described it as education occurring “within a sociocultural context where even tasks targeting individuals have a wider influence. Both teachers and


students need to engage in reflection and analysis in this problem-filled, dynamic classroom environment” (p.165).

The uniqueness of the CIPT approach is that each class is different but with similar results. This is because, what is learned in every class is co-created by the teacher and the participants present in real-time and the issues that arise in the moment of learning cannot be the same for different dimensions of space and time. In every classroom the degree of reality and aliveness gives students and faculty materials to work with (Johnstone & Fern, 2010). The commonality of CIPT classrooms is that participants are taught the skills of getting on the ‘dance floor’ and ‘getting on the balcony’ as well as how to learn from leadership failures in real-time (Heifetz & Linsky, 2002). The pedagogical setting involves joggling of the classroom, small groups and other learning spaces, so as to place participants in a realm where they can better understand themselves by reflecting on how they are interacting in each of these different spheres. The CIP is a pedagogical approach where any living situation can be used as a case to observe, interpret and intervene. This approach facilitates students’ to learn in situ and in real time the experience of exercising leadership. This dynamic is structured and spontaneous. Every week has defined moments to debrief what had happened in the previous moments, and it always open the possibility to intervene with an interpretation.

It can be argued that by virtue of the fact that Heifetz’ work at Harvard was focused on graduate level and professional students it is an andragogical in its approach and therefore to adapt it as pedagogy for undergraduate students is in itself a challenge. However, the emphasis here is that leadership can be taught and that case-in-point is an efficient and emerging approach to doing that. CIPT is situated within four foundational dimensions described by Parks (2005), namely Authority Verses Leadership; Technical Problems Verses Adaptive Challenges; Power Verses Progress; and, Personality Verses Presence. Authority Verses Leadership

Authority and leadership are two distinct functions whereas “providing orientation and direction, setting norms, resolving conflict, and, when necessary, providing protection (p.9)” are the functions and attributes of authority; leadership is about “mobilizing people… to address their toughest problems” (p.9) which according Heifetz, Grashow & Linsky (2009) requires adaptive change. Authority and leadership have been described, compared and contrasted in several literature and treatises with some placing traditional management as a form of leadership by authority (Yawson, 2012). Parks (2005, p. 9) argued that authority is an essential part of adaptive leadership, but just one component of the attributes required from leaders in today’s complex conditions “to move people beyond the edge of familiar patterns, into the unknown terrain of greater complexity, new learning, and new behaviors, usually requiring loss, grief, conflict, risk, stress and creativity” elements which also come to play in CIP classrooms and which “authority only becomes one resource”. Technical Problems Verses Adaptive Challenges

These foundational dimensions have been described in detail later in this paper. Technical problems are ones that are solved with current knowledge and skills, and what economists prefer to call technical-knowhow; whereas adaptive challenges are of dynamic complexity in nature and demands “changes of heart and mind – the transformation of long-standing habits and deeply held assumptions and values” (Parks, 2005, p. 10). Power Verses Progress

Parks (2005) succinctly described these foundational dimensions as when leadership is understood as an activity. An activity which results in progress in addressing adaptive challenges in which “there is less attention to be paid to the transactions of power and influence and more attention given to the question of whether or not progress is being made on swamp issues” (p.10).


Personality Verses Presence Personality is not a factor when it comes to dealing with adaptive issues. In this postmodern era of

adaptive leadership, charisma and personality are not the defining realities of leadership, rather it is “the quality of one’s capacity to be fully present, comprehend what is happening, hold steady in the field of action, and make choices regarding when and how to intervene from within the social group in ways that help the group to make progress on swamp issues” (Parks, 2005, p.11). Presence forms a major part in all CIP classrooms and students are made to appreciate and recognize that ‘presence’ is not just about being physically present in class. CONCEPTUAL AND EPISTEMOLOGICAL FRAMEWORK OF CIPT

Historical and contemporary approaches to leadership programs appear to have linear epistemology as the dominant epistemology and as such undergird a majority of leadership models and pedagogy. This is also true for business and management education in general. In an editorial in Human Resource Development Review, Yorks and Nicolaides (2006) for example made an important observation that much Human Resource Development (HRD) theory and research treat organizational systems as complicated linear systems instead of nonlinear dynamic, interdependent systems. Most HRD theory and practice follows the normal science approach. Normal science, as defined by Kuhn (1962) is the routine work of disciplinary scientists “puzzle solving” in their paradigm. Normal science research espouses the facts of the established theory but does not necessarily challenge it or test its assumptions (Batie, 2008). “Although a linear epistemology’s usefulness is implicit in its widespread impact on models and on their use, a linear epistemology has several limitations, including a tendency to privilege particular Western cultural and masculine worldviews and short-term measures” (Jayanti, 2011, p.101). What Jayanti (2011) referred to as ‘linear epistemology’ is borne out of normal science and what underlies most of the theories and practices in leadership education.

Giles & Morrison (2010) have also contended that in the realm of linear epistemology “priority in educational leadership programs is given to academic traditionalist objectives involving increased knowledge and understandings in the first instance and the development of particular skills deemed pertinent to the topic in the second” (p. 64). Giles & Morrison (2010) further explained that as a result, “strategic planning, capacity-building, leadership development and other leadership responsibilities are objectified towards linear, albeit conceptual, understandings devoid of the problematic, contextual, and experiential nature of leadership” (p.64). The implication of the linear epistemology orientation towards organizational leadership programs is “the privileging of rationalist argument, understanding, and skill development at the expense of other contemplative and deliberative approaches to learning” which are critical to understanding the nature of dynamic complexity of adaptive problems confronted by 21st Century leadership.

Heifetz (1994) categorized problems into three types. He described situations where there are no obvious definitions of the problem or the solution as Type III situations or adaptive problems. Type II as situations where the problem is apparent but the solution is not. Type I situations, as technical problems, where the problem can be defined and can be solved with technical know-how and skills. Heifetz (1994) further explained that Type II and III situations are increasingly becoming problems that organizations face and thus calls for “new leadership skills and competencies, a dynamic process that emphasizes the need for quality, flexibility, adaptability, speed, and experimentation” (Beinecke, 2009, p. 2). Type II and III situations are complex, multi- framed, cross-boundary, and hard to solve. Type I problems or tame or technical problems can also be very complex but are not messy. For example, heart surgery is a very complex situation, but it is technical and needs technical solution (Heifetz et al., 2009). Heifetz (1994) has contended that linear epistemological approach to leadership cannot be used to address adaptive challenges and therefore the need for a new approach to leadership education programs.

One cannot address adaptive challenges without appreciating the fact that rational approach has its limits to problem solving. As Marshak (2009) explained:


Instead, other nonrational dimensions need to be accounted for, including internal politics; inspirations in the form of people’s untapped values, hopes, and dreams; suppressed emotions and reactive feelings including fear, anger, and loss; implicit mindsets such as assumption sets, mind maps, and culture; and the psychodynamics associated with change, anxiety, and loss (p. 59)

The need for leadership approaches in dealing with adaptive challenges and to guide organizations in transitions from the bubble bust and mindset of the industrial age to the age of dynamic, complex, non-linear, interdependent environment of disequilibrium and turbulence required new leadership education approaches and thus the Case-In-Point Teaching. The CIP approach is important whether developing or transforming, including effective leader/follower strategies that draw in a true diversity of voices and require leaders to maintain intellectual flexibility and open-mindedness in the new ‘necessary revolution’. The leadership in addressing adaptive challenges should be a collective process in which no single form or concept of leadership should be sacrosanct (Hickman, 2010). Instead, as Sharon Parks (2005) one of the main proponents of Case-In-Point Teaching described:

It is one thing to teach knowledge of the field, and it is quite another to prepare people to exercise the judgment and skill needed to bring that knowledge into the intricate systems of relationships that constitute the dynamic world of practice. It is yet another challenge altogether to prepare someone to practice leadership within the profession and the communities it serves (p. 4).

Parks further described and summed the CIP teaching as follows:

In this approach to teaching, the teacher remains the authority in the classroom – providing orientation and maintaining equilibrium in the group. But the teacher is also practicing leadership – skillfully allowing enough disequilibrium (confusion, frustration, disappointment, conflict, and stress) to help the group move from unexamined assumptions about the practice of leadership to seeing, understanding, and acting in tune with what the art and practice of leadership may actually require. In the process, the teacher must be aware of the various factions among the students in the room, the different points of view that each represents, and then must find ways of recruiting, honoring, and sustaining the attention of each of them (pp 5, 8)

The foregoing epistemological framework is the conceptual basis to the CIP pedagogy which I am

contending that its practice in teaching organizational leadership is paramount in training leaders who will meet the needs, demands and challenges of the 21st century. CASE-IN-POINT TEACHING IN LEADERSHIP EDUCATION AS AN EMERGING PEDAGOGY

The purpose of this paper is not to suggest one ‘correct’ way to approach teaching leadership and the CIP teaching does not follow a routine rubric or laid down rules that have to be strictly adhered to. Real life does not follow a rigid routine of occurrences and therefore CIP teaching’s ultimate goal is to create adaptive leaders. The CIP as an emerging pedagogy varies in its approach and content from one institution to the other, but they all share the common goal of teaching students the skills of being reflective and adaptive leaders as well as how to learn from leadership successes and failures in real-time.

There has been an exponential increase in the last three decades in the growth of student leadership programs on college campuses in the United States (Brungardt et al., 2006). It is estimated that over 1000 of these programs can be found in all areas of the academy (Brungardt et al., 2006). However, very few of these programs are using the CIP pedagogy notably Harvard University, University of San Diego,


University of Minnesota among few others. The overall concept of CIP and the conception that the success of education depends on adapting teaching to learner differences is, however, not new. Snow (1982) has cited 1st century BC Chinese, Hebrew, and Roman texts in explaining the idea of adaptive teaching. One of Snow’s favorite quotes is the one by Quintilian, who wrote this passage in the 5th century BC:

Some students are slack and need to be encouraged; others work better when given a freer rein. Some respond best when there is some threat or fear; others are paralyzed by it. Some apply themselves to the task over time, and learn best; others learn best by concentration and focus in a single burst of energy. (Quintilian, trans. 1921)

The current emergence and use of CIP can be attributed to Harvard’s Ron Heifetz and made even

popular by Sharon Parks in her best seller Leadership Can Be Taught. As an emerging area of practice, conferences and symposia are being held over the country with arguably the most successful and biggest one held at the University of Minnesota in May 2011. The conference brought together a wide range of professionals and academics in the field of leadership to discuss the practice of case-in-point teaching. The Case-in-Point Classroom

The first thing any practitioner of CIP teaching will say about the CIP classroom is the importance of the physical classroom setting. Experiences of practitioners of CIP teaching indicate a classroom with movable chairs as the most suitable; an issue which undoubtedly have been extensively discussed in education in general. The first day of class is taken very seriously by CIP practitioners as it defines how the class is built as a community. The first day of class is used to create a shared understanding on the various themes that will underlie the classroom as learning and practice community throughout the semester.

There are many artifacts that are brought to the CIP classroom to create that ‘learning in a moment’ environment. These may include things like memes, grading contract, rituals like moment of silence, inspirational quotes; and activities for physically being accountable for community building. CIP teachers use their experience to form flexible groups for learning. CIP teaching is intellectual as well as technical, requiring quick response to learner variation (Corno, 2008). “CIP teaching creates a symbolic area at the center of the teaching ground, a space for easiest teaching, and aims to keep the most number of students within that center to capitalize on skills across the class, challenge students to share experiences, and develop aptitude” (Corno, 2008, p. 161). Schon (1987) maintains that professional education should build the skill of “reflection in action (the ‘thinking what they are doing while they are doing it’) that practitioners sometimes bring to situations of uncertainty, uniqueness, and conflict.” (p. 40).

Perhaps the greatest challenge facing undergraduate leadership education is what Raelin (2009) referred to as the epistemology of practice. The translation of theory to practice in a way that is immediately salient to students. “Let us search, instead, for an epistemology of practice implicit in the artistic, intuitive processes which some practitioners do bring to situations of uncertainty, instability, uniqueness and value conflict” (Schön 1982, p. 49), in our teaching of leadership. Historically, undergraduate leadership education has relied on three (mostly) disparate approaches to achieve this: theory content, simulations, and personal reflections (written, small group, dyads, etc.). However, the real challenge is to give young adults the lived experience of being able to apply theory and self-reflection in the midst of the stress of applied leadership. As Heifetz & Linsky (2002) have suggested: “No one learns by staring in the mirror. We all learn –and are sometimes transformed—by encountering differences that challenge our own experience and assumptions” (p.101). What has often been used to teach undergraduates is akin to staring in a mirror. Articles are given to be read, discuss them in class, and then they are asked to go home and stare into a mirror, what is generally referred to as reflective writing. However, there is a critical step missing between the classroom and their critical writing. CIP teaching helps in supplying this missing step. CIP helps students connect theory to practice in a visceral way while


reinforcing the critical leadership skill of moving between the “balcony and the dance floor” (Heifetz & Linsky, 2002).

Heifetz and Linsky (2002) have explained the balcony metaphor using the example of the dance floor. Navigating the dance floor, concentrating on your partner, getting carried away by the music and immersing in the moment and the ambiance is where most of the attention is placed. “Your description of the band afterwards will be that the band played great, and the place surged with dancers” (Heifetz & Linsky, 2002, p.53). However, you may give a different assessment and description of the band if you had left the dance floor and stayed and observed from the balcony for some time. Perhaps you may have noticed that the band was too loud and most people had concentrated away from the corner the band is playing. “Achieving the balcony perspective means taking yourself out of the dance, in your mind, even if only for a moment” (Heifetz & Linsky, 2002, p.53). This is the surest way to prevent misdiagnosis and subsequent “misguided decisions about whether and how to intervene” (Heifetz & Linsky, 2002, p.53).

Heifetz and Linsky (2002) cautions however, that one cannot stay on the balcony forever and doing that is as worse as never moving to the balcony in the first place. It should be an iterative and dynamic process and not static. One has to move in and out of the dance floor with the aim of getting as close as possible to being at the dance floor and balcony simultaneously. Playing the almost simultaneous dual role of observer and participant is a skill CIP classroom tries to let students learn.

Sometimes what occurs in the CIPT classroom is intentional. As a CIP practitioner you should be able to orchestrate conflict. However, orchestrating conflict requires courage and practice. In orchestrating conflict in the classroom, you should also be mindful to create a holding environment to provide safety and structure for students to be able to discuss the particular values and display their emotions (Heifetz et al., 2009). The goal is to challenge the mindset, to get beyond opinions and perspectives to the point of transformation (Daniels, 2011). Creating a holding environment should be a mutual exchange between the teacher and the class as a community. Creating a holding environment will help you regulate the heat as a result of orchestrating conflict. “To orchestrate conflict effectively, think of yourself as having your hand on the thermostat and always watching for signals that you need to raise or lower the temperature in the room” (Heifetz et al., 2009, p.160). In my own teaching I have used race, gender, tuition, globalization, disability, and colonialism, to benign topics such as innovation, beauty pageant, Olympics, among others as issues to orchestrate conflict.

The goal is to keep the temperature – that is, the intensity of the disequilibrium created by discussion of the conflict - high enough to motivate the students to arrive at creative next steps and potentially useful solutions, but not high enough that it drives them away or makes it impossible for them to function. (Heifetz et al., 2009, p.160)

Although, sometimes what occurs in the CIPT classroom is intentional, often actions and reactions

are not planned or purposeful (Homan, 2011). Yet even in these cases there is an effect on both you the teacher and the entire class. Managing this relationship effectively is one of the hallmarks of case-in-point classroom. However, as a practitioner, you should be able to capitalize on both the actions and reactions as cases-in-point. It is important to reflect on the activity soon after it takes place (Dalton, 2009). Begin with questions that keep students close to the experience itself and then move the discussion to questions of interpretation and application (Dalton, 2009). Ultimately, the CIP pedagogy is aimed at building an adaptive culture in the workplace by developing an adaptive workforce and this is challenge for organizational leadership scholars and practitioners to lead. A Case for Case-in-Point in Teaching Organizational Leadership

The adoption and use of CIP in ‘teaching organizational leadership will not be without issues and challenges and these issues may differ from program to program and even between individual instructors. This is the reason why I am not advocating for a wholesale use of CIP as practiced by other programs or wholesale borrowing of Ron Heifetz’s approach. However, CIP can serve as a pedagogical concept as


well as practice of a particular form of teaching needed to effectively educate students for leadership in the 21st century work place.

Teaching leadership programs has a long history dating back to the very beginning of management education as a field or discipline. Traditionally, it would appear that the pedagogy within business schools’ leadership programs has been largely transactional, didactic and generic, with the academic content being determined and delivered by faculty perceived to be theoretical experts. This type of approach is situated in the industrial view of leadership (Rost & Barker, 2000). This approach has been profitable, and therefore has been the approach that is still dominant in business school curriculum. But, leadership education in the 21st century should be structured to address the fundamental issues of the emerging social paradigms and this is what CIP offers.

CIP teaching reflects the social dynamics of classrooms to explain what practicing teachers do to address student differences related to learning and this cannot be adequately represented by linear models, by correlation coefficients, or simple descriptive terms like charismatic leadership or transformational leadership (Rost & Barker, 2000). In CIP pedagogy, teachers respond to learners as they work (Corno, 2008). “Teachers read student signals to diagnose needs on the fly and tap previous experience with similar learners to respond productively” (Corno, 2008, p. 161). This is what is needed in the business school classrooms. Inculcating CIP pedagogy into organizational leadership training is important.

Higher education like all aspects of national life is in a state flux, anxiety and facing unprecedented challenges as a result of budget short-falls. Among the most important and challenging dimensions of consideration for colleges and universities is their ability to continuously attract, retain and graduate students even in the face these challenges. An academic program which fails to do that is in danger of becoming extinct as result of budget prioritization. Anecdotal evidence from the Leadership Education Undergraduate Program at the University of Minnesota suggests that the introduction of case-in-point pedagogy positively affect students’ retention, graduation rate and higher rates of employment by the alumni of the program (Personal Communication, 2011).

One of the most pressing requirements for 21st Century workforce is to develop a framework for theory and practice of professional development which results in the attainment of professional competencies suitably robust for a lifetime's practice (Howe, 2002). The nature of dynamic complexity of challenges of leadership of the 21st century workplace lends itself to a whole new paradigm of approach to how future leaders are trained (Yawson, 2013) and the case-in-point teaching is one of such new paradigms. CONCLUSION

The nature and dynamic complexity of adaptive challenges lends itself to a whole new approach to how leaders are developed and trained. The CIP pedagogy and teaching approach as laid out in this paper describes this new approach to leadership education. The emphasis on non-linear epistemology and the concept of adaptive leadership, however, should not be interpreted as advocating the total demise of linear epistemology. The usefulness of linear epistemology in addressing technical problems is not in contention. The contention is that linear epistemology cannot be the dominant epistemology in leadership education and that the dynamic complexity of adaptive challenges and “today’s increasingly complex, dangerous, and challenging world demands more and more better leaders than ever before” (Parks, 2005). This demand is the reality in the 21st century, and requires a new approach to leadership education, a non-linear epistemology of practice, rather than reductive or linear thinking or processes of normal science. CIP attempts to fulfill this demand.

CIP is however, not a dogma, it is an adaptive practice which is evolving and I believe will serve as a very useful approach to teaching organizational leadership. What has been described in this paper is to serve as a guide and contribute to the evolving conversation on a new paradigm shift in leadership education. The integration of CIP pedagogy into all aspects of Business School curricula especially organizational leadership programs and workforce development will help to produce graduates ready for the 21st century leadership challenges at the workplace.


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ACKNOWLEDGEMENT

This paper was first presented at the 2013 Academy of Human Resource Development Conference in

the Americas. I also wish to thank my former colleagues at the University of Minnesota Leadership Education And Development – Undergraduate Programs (LEAD-UP) for introducing me to the Case-In-Point Pedagogy. This paper was ultimately made possible as a result of 2013 Summer Research Grant received from the Lender School of Business, Quinnipiac University.


New Leader Agendas & Legacy Organizational Culture: A Case Study Exploring Learning’s Role in Bridging the Great Divide

David A. Rude

The George Washington University

The learning community has a vested interest in bridging the divide between leadership and culture. Leaders must be attuned to cultural dynamics. Culture is replete with complexities that can hinder new leaders. Learning can help inform and influence how leaders instill cultural changes that may be necessary. This case study of a public sector organization revealed two overarching themes relevant to learning: culture change takes time and must be communicated with care to alleviate stress; and culture change must consider affective elements. Given these findings, a new perspective of culture emerges. Implications for learning scholars and practitioners are presented. INTRODUCTION

“Culture and leadership are two sides of the same coin.” (Schein, 2010, p. 22)

This opening salvo is powerful for purposes of pondering the dynamics of culture. As described in the

following case study of a public sector organizational environment, this manuscript addresses the organizational culture-related complexities confronting new leaders (especially those at the executive level). Within the public sector organization (hereafter, PSO) into which the author was granted permission to study, recent leadership changes triggered a perception that a cultural assessment was in order. How often do we hear incoming leadership pronounce sweeping cultural changes, only to hear the undercurrent of resistance by the workforce? Culture is a complex phenomenon (Dull, 2010; Martin, 2002; Schein, 2010), and is not changed simply by virtue of a new organizational leader’s position or doctrine.

In the narrative that follows, definitions of culture are reviewed. An expanded view of organizational culture is proposed. The PSO’s culture and leadership problems will be reviewed, followed by empirical research solutions grounded in the case study methodology that were taken to identify barriers. The case study encompassed observations and interviews. I gained access to the PSO through trusted agents, and had the opportunity to observe the PSO’s leadership interactions through town halls, staff meetings, and informal scenarios. I also heard about stories and rituals that left indelible impressions on tenured employees. Structured interviews were conducted.

The final section addresses implications for learning practitioners and scholars. Tables, figures and appendices are included, where appropriate, to further illustrate key concepts. Without exception, the organization and participant names are pseudonyms.


The Problem The PSO is a mid-sized organization of between 500 and 1,500 employees within a governmental

entity geographically located in the Middle-Atlantic region of the United States. The PSO’s workforce is predominantly comprised of human resources and information technology occupations. During the period from December 2010 through August 2011, the entire senior leadership team within the PSO changed. All executives were hired from outside the PSO – no internal promotions were made. The Chief Executive Officer (CEO) was from an occupation not related to the PSO’s core workforce and, perhaps not surprisingly, an unknown commodity to most employees. At an “all hands” meeting soon after his arrival, the CEO pronounced a culture change was in order. Soon afterwards, the rumor mill was in full swing: despite periodic leadership messages the CEO sent via email to all employees, the prevalent mood (Bar-On, 1997) was that employees did not trust CEO intentions and were convinced that efforts to change the culture would go unheeded, as they saw no reason for the change. The leader appeared convinced that there was an integrated perspective of culture when it also appeared evident that employees were comfortable with a differentiated perspective (Martin, 2002). These perceptions were anecdotal and informally shared with the researcher by several employees.

Landmark research conducted by Romanelli and Tushman (1994) focused on punctuated equilibrium. Their study focused on changes in power, structure, and strategy. Interestingly, their original research framework also included culture as a variable – however, culture was removed from further consideration given its amorphous nature (Romanelli & Tushman, 1994). This important decision in framing their research study has parallel effects in many organizations: employees seem to adapt to a new leader’s agenda when it comes to making changes in strategy and structure. This is not surprising, since a leader’s vision typically involves these variables, and employees may even have heightened expectations that structural or strategic changes are warranted when a leader arrives (especially if the executive was hired from the outside).

Cultural changes, however, may encounter significant resistance. Van Maanen and Schein (1979), who made seminal contributions towards an understanding of organizational socialization, posited six dimensions of socialization (e.g., collective vs. individual; sequential vs. random). For leaders new to an organization, one dimension of particular emphasis is investiture (smooth entrance into an organization) vs. divestiture (personal characteristics are denied by established members). New leaders potentially face several perilous conditions – they “may question old assumptions about how the work is to be performed, be ignorant of some rather sacred interpersonal conventions that define authority relationships within the workplace, or fail to properly appreciate the work ideology or organizational mandate shared by the more experienced members present on the scene” (p. 211). Arguably, these perilous conditions reflect the cultural resistance that new leaders can encounter. Figure 1 illustrates this concept. Multiple cultures may exist within the portfolio governed by the new executive. This discussion leads to how culture is defined, which is the focus of the section that follows.

FIGURE 1 NOTIONAL EMPLOYEE RESISTANCE LEVELS TO NEW LEADER

CHANGE ANNOUNCEMENTS

0 0.2 0.4 0.6 0.8 1

Power

Strategy

Structure

Culture

Degree of Employee Resistance

New

Lea

der C

hang

e El

emen

t


PURPOSE AND RESEARCH QUESTION

The purpose of this study is to understand the complexities of leaders new to an organization, from a cultural standpoint. “It takes considerable insight and skill for a leader to understand the current culture in an organization and implement changes successfully” (Yukl, 2010, p. 309). What is most important about any event is not what happens but what meaning people assign to it. This is complicated by the fact that people may not interpret experiences in the same way, especially within a cultural context. Ambiguity and uncertainty may prompt employees to assign meaning of their own choosing, and those interpretations may form a highly interwoven patchwork of culture (Bolman & Deal 1997). Bolman and Deal (1997) asked the question, “do leaders shape culture, or are they shaped by it?” (p. 231). Schein (2010) resolutely answered: “if leaders … do not become conscious of the cultures in which they are embedded, cultures will manage them” (p. 22). Accordingly, the overarching research question is: What are the organizational culture dynamics to which a new leader must attend? CULTURAL PERSPECTIVES

Martin (2002) delineated no fewer than twelve definitions of culture, one of which was hers. For

purposes of brevity, those definitions are not repeated here. Rather, it suffices to state that defining culture can embody ideational and materialistic approaches, have varying degrees of breadth and depth and are manifested in a variety of ways (Martin 2002). In discerning the multitude of approaches to culture, Burrell and Morgan (1979) offered specific paradigms impacting the ways in which culture can be viewed by leaders. For example, the functionalist paradigm is problem-oriented, and functionalist organization theory is focused on a task or goal. In contrast, the interpretive paradigm “seeks explanation within the realm of individual consciousness and subjectivity” (Burrell & Morgan, 1979, p. 28). Figure 2 is a rudimentary illustration of the Burrell and Morgan (1979) four paradigms model. Interested readers are encouraged to further explore their pioneering contributions to social theory.

FIGURE 2

BURRELL AND MORGAN’S SOCIAL THEORY PARADIGMS

SOCIOLOGY OF RADICAL CHANGE Radical Humanist

• Subjective orientation • Focus: release from social constraints • Critiques the status quo • Key words include: radical change,

emancipation, potentiality

Radical Structuralist • Objective orientation • Focus: Conflict and change in structural

relationships • Fundamental conflicts generate change • Key words include: conflict, contradiction,

deprivation Interpretivist

• Subjective orientation • Focus: Nature of social world through subject’s

lens • Human affairs are integrated • Key words include: social order, consensus,

cohesion

Functionalist • Objective orientation • Focus: provide rational explanation of social

affairs • Highly pragmatic: knowledge that can be used • Key words include: status quo, solidarity, need

satisfaction SOCIOLOGY OF REGULATION

Note: Adapted from Sociological Paradigms and Organisational Analysis by G. Burrell and G. Morgan, 1979, 22-37. Copyright 1979 by G. Burrell and G. Morgan.


Although not exhaustive, Figure 3 below illustrates the paradigmatic grounding of selected culture scholars as well as this researcher.

FIGURE 3 SELECTED CULTURE SCHOLAR PARADIGM ORIENTATION

Interpretivist

• Geertz • Hatch • Martin • Rude (manuscript author)

Functionalist • Schein • Albert & Whetten • Denison • Giddens

The term culture has spawned panoply of definitions and its applicability to many disciplines (Dull, 2010). For purposes of this study, an interpretivist epistemological stance is taken since it is viewing new leaders through the employees’ organizational culture lens. However, functionalism has greatly influenced culture research (Martin, 2002) and as such has theoretical traction in this manuscript. Three scholarly perspectives on culture resonated in particular:

1. Geertz (1973) – “thick description” (p. 27) – culture is richly portrayed by those experiencing it.

2. Schein (1992) – “a pattern of shared basic assumptions ... way[s] to perceive, think and feel” (p. 12). Assumptions are revealed in espoused values which, in turn, tangibly manifest themselves as artifacts.

3. Hatch (1993) - Extended the Schein model by emphasizing the dynamics of culture and a fourth element (beyond artifacts, values and assumptions): symbols, which accord meaning to an artifact. The Hatch (1993) model is illustrated in Figure 4, below. Also, links to the means by which the four elements within this circular dynamic model are indicated. A detailed adaptation of this model is described in Appendix A.

FIGURE 4

ADAPTATION OF HATCH (1993) CULTURE DYNAMICS MODEL

Clockwise on top: proactive Counterclockwise on top: retroactive Clockwise on bottom: prospective Counterclockwise on bottom: retrospective


A Proposed Organizational Culture Definition Expansion While recognizing a proclivity towards specific hues of extant culture definitions, all definitions

offered by Martin (2002) were unfulfilling to varying degrees. Schein (1992) called for an appealing recipe of considering assumptions, values and artifacts and, in his latest iteration (2010), acknowledged the plausibility of sub-cultures. Of concern with Schein, though, is the phrase “that has worked well enough to be considered valid”, which remains central to his cultural definition (Schein, 1992, p. 12). Worked well enough as considered by whom? How is validity determined? Is validity essential? These concepts appear to objectify culture, leaving Schein still squarely within the functionalist perspective.

Martin’s (2002) three perspective orientation encompasses integration, differentiation, and fragmentation. A “home perspective” (Martin, 2002, p. 121) exists; for me, that is differentiation. In finding that sub-cultures typify the complexion of large organizations, I subscribe to Martin’s metaphor that the differentiation perspective accords sub-cultures as “islands of clarity in a sea of ambiguity” (p. 94). Sub-cultures can be “enhancing, conflicting and independent” of one another, and that identities are beholden to levels of analysis other than at the organization or institutional level (p. 152). Although this perspective aligns with the subjectivity statement vis-à-vis the organization being studied, a differentiation perspective – while receptive to integration and fragmentation – has been my cultural orientation for some time. Differentiation also accommodates positional issues, which relate to this study.

Given the above, this manuscript offers an expanded perspective of organizational culture as follows, borrowing strains from Geertz (1973), Hatch (1993), Martin (2002), and Schein (1992):

Culture is represented by basic assumptions that are shared by groups within an organization, richly described through the espousal of values and symbols that assign substantive meaning to tangible artifacts (e.g., stories, rituals, norms). Culture is dependent on leadership as well as the express sanctioning by employees.

As will be discussed below, this emergent cultural definition considers the results and implications

stemming from the PSO study. Through the organizational culture analysis that follows, application of the Hatch (1993, 2011) models, Denison culture survey and other research to support inductive findings will be discussed. As such, the methodology, results, and implications sections below are important implements in the learning tool kit. METHOD

Based on the foregoing definition and contextualization of culture, an analysis of the PSO was

conducted. The methods and methodologies employed will be described below, and are addressed in a chronological sequence. A subjectivity statement expressing this researcher’s implicit assumptions and biases (Morrow, 2005) is as follows: although I believe in the PSO’s core mission, I discerned that leadership efforts to realign the organization have adversely affected the culture. I believe that culture is a complex phenomenon, and is not changed simply by virtue of a well-intentioned leader who proclaims that a new culture is required in order to effectively achieve the PSO’s mission. To a degree, results of the Denison culture survey capturing the author’s impressions from personal observations of the PSO, described in an ensuing section, represents a de facto subjectivity statement.

To promote trustworthiness of this study, different perspectives were elicited as depicted in Figure 5, below:


FIGURE 5 ORGANIZATIONAL CULTURE PERSPECTIVES

Qualitative Approach

Temporal constraints facing leaders and learning practitioners may not allow for an in-depth immersion into the culture, which typifies ethnography (Creswell, 2007; Maxwell, 2005). The qualitative methodology was predominantly a case study of a single organization. The PSO represented a bounded case (Creswell, 2007) in which the leadership and cultural dynamics were explored, in order to gain in-depth understanding of those dynamics. That stated, Hatch (1997), which focused on an ethnographic approach, offered valuable insights for data collection via observations and interviews that were relevant to this study. Her three-step model for studying organizational culture was useful. For example, extreme care was taken to let the data speak to this researcher in an inductive manner, rather than deductively formulating a hardline position and hoping the interview results would simply affirm preconceived notions. Also, the inductive approach was congruent with the extant differentiated perspective resonant within the PSO: this is important as Martin (2002) cautioned that the perspective lens is study and organizational dependent. In this regard, leaders and learning practitioners would be well-served to conform with Hatch’s (1997) caution not to “impose an order to a meaning onto the data based only on your own biases or strictly personal interpretations” (p. 222). Denison Culture Survey

To frame the cultural analysis, a Denison culture survey comprising of 60 questions was conducted to ascertain cultural aspects of an organization (http://www.denisonconsulting.com). The Denison organizational culture survey includes representative items such as the extent to which:

• There are clear and consistent values • A shared vision exists • A guiding ethical code exists • A visible, unified culture exists • Consensus is reached • A common perspective is shared across the organization • Leader actions reflect leader words • Organizational learning is important

Organization Culture

Self-Reflection (Denison survey)

Executive Perspectives (interview)

Senior Manager

Perspectives (interview)


http://www.denisonconsulting.com/�

These and other cultural survey variables help to ascertain the degree to which employees at different organizational levels are aligned as well as, arguably, which cultural perspectives (Martin, 2002) appear to reside within the organization.

Although a percentile vice raw score methodology explains cultural perceptions, it also emphasizes the need to triangulate the Denison survey with other approaches in order to promote validity (Maxwell, 2005). Accordingly, interviews with employees of the PSO were used to complement the observation based self-reporting Denison results, and to mitigate researcher bias. The following section describes the interview protocol. Interview Protocol

Previously, it was described that one impetus for studying the PSO was based on recent leadership changes and culture change advertisements. Interview guidance provided by Maxwell (2005) was followed; for example, “purposeful selection [in which] particular settings, persons or activities are selected deliberately [because they are] experts [or] privileged witnesses” (p. 88). To that end, nine participants were selected to be interviewed during a 30-minute session. I intentionally selected three executives, all of whom transferred into the PSO from other organizations within the last six months. The remaining six participants were senior managers – one level underneath executives – who experienced the cultural transitions during that same six month period. All senior managers had been with PSO or its predecessor organization for at least three years. Interviews occurred between November 15 and 23, 2011 and in person, with one exception. The interviews were structured in nature, i.e., the same six questions were asked of every participant. Interview questions were congruent with Denison culture survey themes. The validity (or trustworthiness) technique of member checks was used as a way to bolster researcher credibility and to acknowledge the participant’s own voice in the study (Creswell, 2007). A participant summary follows in the next section. First Cycle Coding

To ascribe with Hatch (1997) and Saldana (2009), this study engaged a phased approach for collecting and analyzing data. Hatch (1997) emphasized an inductive approach when studying cultural dynamics, in order to remain objective and to discern emerging symbols and meanings. In a similar vein, Saldana (2009) defined first cycle coding as a way to categorize and classify emergent data from the qualitative study. Given the complementary objectives of Hatch (1997) and Saldana (2009), four codes were used to segregate data and highlight salient features: attribute; descriptive; in vivo; and pattern. Each is briefly described, below (with pattern coding addressed in Second Cycle). Attribute Coding

Saldana (2009) indicated that attribute coding “logs essential information about the data and demographic characteristics” of research subjects (p. 55). Table 1 below provides attribute coding about the nine interviewed participants:


TABLE 1 ATTRIBUTE CODES

Participant Pseudonym

Age Bracket Gender Ethnicity Interview

Date Industry Executive Level E1 40-45 Female Caucasian November 21 Human Resources E2 45-50 Female Caucasian November 23 Information Technology E3 50-55 Male Caucasian November 21 Human Resources Senior Manager Level M1 45-50 Male African

American November 15 Human Resources M2 55-60 Male Caucasian November 23 Information Technology M3 45-50 Male African

American November 21 Human Resources M4 50-55 Female Hispanic November 21 Human Resources M5 50-55 Female Caucasian November 22 Learning & Development M6 50-55 Female Caucasian November 21 Marketing

Descriptive Coding

As noted by Saldana (2009), this coding is useful for virtually any qualitative study but when devices such as interviews are involved, and when the researcher is trying to figure out what is going on. As framed at the outset of this paper, these criteria are relevant. In Vivo Coding

A key objective of the interviews was to capture the voice of participants. Ideally, this is done with direct quotes that ‘leap off the page’ and resonate with the researcher in terms of compelling stories, other artifacts and potential themes. Accordingly, in vivo – meaning “in that which is alive” – was determined to be crucial for this study (Saldana 2009, 74). Second Cycle Coding

Based on the first cycle coding (Saldana 2009) and culminating with the third step of Hatch (1997), this phase is where “deeper beliefs, assumptions, and symbolic patterns of meaning linking the norms, values, and themes begin to reveal themselves” (Hatch, 1997, p. 222). In this vein, Saldana’s (2009) pattern coding technique aligns with Hatch (1997) and was used to analyze results below.

This section described the methods used in this study, namely: organizational culture insights from Hatch (1997); Denison consulting survey instrument; interview methodology and protocol; and four coding techniques proffered by Saldana (2009) – attribute, descriptive, in vivo, and pattern coding. These composite efforts led to results that are addressed in the narrative that follows. RESULTS

The preceding section detailed the methods used to gather data analyzed in this study. This portion addresses the results and, stemming from the analysis, was used to inductively research extant literature for theoretical or empirical underpinnings, and identify patterns or themes that emerged. Denison Culture Survey

As noted earlier, I responded to the questions in light of my observations of the PSO. Ideally, scores from the 12 categories are at or near the outer periphery. This ideal contrasts with results illustrated in


Figure 6, below (note: scores were in terms of percentiles and have a minimum of 1 and a maximum of 100).

FIGURE 6 DENISON SURVEY RESULTS: SELF-REPORTING FOR PSO

At first glance upon reviewing the individual categories shown in Figure 4 above, the results were not

too surprising. The PSO has a fairly strong mission orientation, one that is closely linked to public service. As such, a compelling customer focus (shown in the Adaptability quadrant) is logical. Evident weaknesses were most pronounced in the Involvement and Consistency quadrants. Descriptions of specific deficiencies, as noted in the Denison web site (http://www.denisonconsulting.com) and in comparison to specific survey items that underscored weakness are provided in Table 2, below.

Although individual categorical scores were not surprising, as indicated, comparisons of categories yielded unexpected results. For example, capability development was in the 1st percentile (i.e., 99 percent of organizations had higher scores) while organizational learning was in the 93rd percentile (indicating only 7 percent of organizations fared better). Also, core values within the organization (in the 1st percentile) are interesting when compared to the comparatively strong percentile scores in the Mission quadrant. The lack of intuitive results emphasizes the need to use multiple techniques in a qualitative study (Creswell, 2007; Maxwell, 2005). With the Denison survey results analyzed, attention now turns to results from participant interviews.


http://www.denisonconsulting.com/�

TABLE 2 DENISON CULTURE DESCRIPTIONS AND SURVEY FINDINGS FOR DEFICIENCIES

Deficiency Description from Denison Web Site Associated Self-Reported Finding

Teamwork Encouraged so that creative ideas are captured and employees support one another in accomplishing the work that needs to get done.

• People work like they are part of a team (percentile: 1st)

• Cooperation across different parts of the organization is actively encouraged (percentile: 5th)

Capability Development

Practiced in a variety of ways, including training, coaching, and giving employees exposure to new roles and responsibilities.

• “Bench strength” is constantly improving (percentile: 1st)

• Capabilities…are viewed as an important source (percentile: 1st)

Core Values Help employees and leaders make consistent decisions and behave in a consistent manner.

• Ignoring core values will get you into trouble (percentile: 1st)

• There is a clear and consistent set of values that govern how we do business (percentile: 9th)

Agreement Engaging in dialogue and getting multiple perspectives on the table.

• A “strong” culture (percentile: 1st) • It is easy to reach consensus, even on

difficult issues (percentile: 1st) Interviews

The interview technique complemented the self-reporting Denison culture survey instrument, partially to balance perspectives on PSO’s culture and to mitigate self-reporting bias. As noted in the preceding Method section, descriptive and in vivo codings were used to help ascertain the nature of the topic being studied (Saldana, 2009). To that end, a coding summary of participant responses is provided in Table 3, which follows.

TABLE 3

DESCRIPTIVE AND IN VIVO CODING SUMMARY

Code Description In Vivo Sampling Exec Count

Sr Mgr Count

CLIMATE Organization climate important

“fortress mentality” 1

COMMUNICATION Verbal or written communication identified

“created confusion”, “shifting sands”

4

IDENTITY Organizational identity was impacted

“our new identity” 1

LEADERSHIP Role of leadership was germane

“lack of consistent leadership”, “new”

2 9

MORALE Morale was impacted by culture change

“in prison”, “painful”, “wounded”, “psychological”

3 10

PERCEPTION Interviewee perception “different”, “broad concept”, “I guess”

12 4


PUNCTUATION Culture change initiative was dramatic

“shock”, “never saw it coming”, “taken by surprise”

6

TEMPORAL Time was a factor in culture change

“doesn’t happen overnight”, “allow…for time”

5 5

Total Number of Descriptive Coding Comments 23 39

Earlier, it was noted there were three executives and six senior managers who agreed to be interviewed. In order to account for the difference of respondents in each category and to identify where differences in perceptions existed, responses were prorated based on their frequency relative to the total number of descriptive coding comments that emerged. Figure 7 below depicts those perceptions in graphic form.

FIGURE 7 DESCRIPTIVE CODING SUMMARY: PERCEPTION COMPARISONS

When viewed in this manner, differences are at times startling. For instance, significant differences in

the “perception” category surfaced. Statements such as “I felt”, “I guess” and the like were cues about the participant’s perception about a given topic or situation. That executives cited perceptions to a far higher degree than senior managers may be due to their relative newcomer status in the organization, as they are still trying to figure out what those perceptions mean – whereas, tenured managers can more easily translate that perception into, for example, a communication issue or a shock (punctuation) to the system (Romanelli & Tushman, 1994).

Leadership and morale, while identified as distinct descriptive codes, were joined together in a number of responses. On leadership, executives were more apt to affirm the Chief Executive Officer’s role, while senior managers conveyed issues of trust and questionable motives of the CEO. The CEO is viewed as a mission-oriented leader – conversely, respondents seemed to appreciate a symbolic interactionist and Meadian perspective (Denison, 1996). In this manner, Hatch (1993) noted that manifestations proactively or retroactively influence values. Executives appear to be proactively engaging


values, in order to organize action and experience. Conversely, senior managers view leader values as disjointed with manifestations. Consequently, the PSO lacks traction to enter the realization phase – see Appendix 1 for details (Hatch, 1993).

Morale was disconcerting to senior managers. Similar to a study conducted by Meyerson (1994), burnout and stress are already evident. Participant M4 stated:

“It’s all been very disjointed. It’s been difficult. I was all ready to adapt to the changes but I really haven’t felt a part of it at all.”

As with the Meyerson (1994) study, how people react to burnout and stress (along with ambiguity) is

a situative phenomenon. Given that PSO is in its infancy stage, a longitudinal study on the effect of stress is premature. However, warning signs (e.g., cancellation of the annual holiday party due to lack of interest) was a resounding theme of concern from managers, and to which they believe leadership must attend. Although the holiday party cancellation was a single event and was counter to the PSO’s prior history, that ritual (Geertz, 1973; Martin, 2002) has perpetuated speculation about the humanity of the CEO (Martin, Feldman, Hatch, & Sitkin, 1983). As noted by Schein (1992), if leaders do not manage culture, culture will manage them.

The nascent PSO organization also resulted in acknowledging culture’s temporal nature. Most comments concerning time were to the effect that it was too early to tell whether culture changes would be successful, whether leadership mandates on culture would be extolled by the workforce, or where the PSO’s home perspective(s) (Martin, 2002) would ultimately reside. (Currently, PSO’s culture appears to be differentiated if not fragmented.) Predicting how successful the PSO will be in addressing obstacles (Martin et al, 1983) is an uncertain enterprise. At present, though, there are distinct cultural problems:

• Difficulties in acknowledging different cultural perspectives resonated with participant E3 – “I see clashes of cultures … Everyone is in prison; [there is a] whole fortress mentality … there is no transparency and openness. [As a result] in some ways we’ve almost destroyed culture.”

• Ambiguity was expressed by participant M6: “[Leadership changes] created confusion. A lot of bewilderment and bemusement by our stakeholders”

• Lack of preparation for the change was cited as disconcerting by three managers. M1 noted “Frankly, there wasn’t much the organization did to prepare me for the change ... we didn’t do a very good job of marketing the change. People didn’t know why the change occurred, or what kinds of issues or concerns were being addressed by the change.” M3 stated “I never saw it coming.” M5 contributed “I think that it [the change] was rolled out before it was either fully formed or the communications plan was fully developed.”

Patterns and Themes

In following Creswell (2007), Hatch (1997), and Saldana (2009), at least two predominant patterns (or themes) emerged from the descriptive coding. Those are depicted in Figure 8, below.


FIGURE 8 EMERGENT PATTERNS (THEMES)

Description Theme 1 Description Theme 2

A further elaboration of each emergent theme follows:

Theme 1 This addresses the temporal, punctuation and communication categories. Giddens (1984) noted that

time could be considered as reversible for institutions (e.g., organizations), primarily in the context of recursive scripts that reinforce agency interactions within a structure. For the PSO, time presents a conundrum: an asset from the standpoint of affecting more stability in culture, but also a liability in that some managers perceived it is taking too long to settle. As participant M6 noted:

“I just didn’t think we’d be in such a state of turmoil at this stage of the game. Time takes care of things, but how much time? What’s an acceptable period of time?”

“Culture change requires the counterbalance of stability” (Hatch, 2011, p. 352). Shocks to the system

recall stress indicators alluded to by Meyerson (1994). These unanticipated events have confused organizational identity, for both internal members and stakeholders. The confusion is confounded by a perception of incongruence between identity and culture (Albert & Whetten, 1985; Hatch, 2011; Whetten, 2006). Wry, Lounsbury and Glynn (2011) propositioned that an emergent, unified identity is more likely to be legitimized when consistent stories are told. PSO has not yet achieved this legitimacy. Theme 2

This addresses morale, perception and leadership categories. DiMaggio (1997) discussed the importance of considering cognition in the context of culture. In addition, however, the results of this study appear to suggest that affect, not just cognition, is important when effecting cultural change. Affect clearly resonated with perceptions of poor morale, perception and (mostly) uncertain trust of leadership. Some managers and executives cannot tell whether the CEO wants a corporate culture or if culture is a variable to be managed (Smircich, 1983). The CEO decree on cultural change recalled Denison and Mishra (1995): PSO is analogous to Detroit Edison, which was controlled by engineers and a forced integration cultural change was “done to [emphasis added] the organization” (p. 211). The PSO CEO would be well-served to not attempt imposing an integration perspective – in which uniform consensus exists – onto the entire organization (Martin, 2002). IMPLICATIONS

Implications for learning scholars and practitioners are provided in the narrative that follows. An abbreviated version of these implications may also be found in Rude (2013).

Culture change takes time and

must be communicated

with care to alleviate stress

Temporal

Punctuation

Communication

Culture change driven by leaders

must consider affective elements

Morale

Perception

Leadership


For Learning Scholars Several implications for learning scholars as regards the successful alignment between new leaders

and legacy organizational culture surface, as described below. • Hartmann and Khademian (2010) noted that research associating leadership with organizational

culture has become passé. While this paper is not focused on the reasons behind this perceived decline of research interest, scholars should re-engage given the veneer that surrounds culture’s depth and breadth. Perhaps, learning scholars should consider the Burrell and Morgan (1979) theoretical paradigms: for instance, leadership acts may be viewed in objective terms, whereas cultural perceptions may be viewed in subjective terms. The expanded cultural perspective offered in this manuscript contains both objective (“tangible artifacts”) and subjective (“express sanctioning by employees”) hues. The objective: subjective chasm vis-à-vis the new leader: organizational culture dynamic may be an interesting research venue.

• Schein (1996) and Martin (2002) both acknowledge sub-cultures. Learning scholars would be well-served by avoiding the possible temptation to equate the term organizational culture with the Martin (2002) term integration perspective of culture. Martin (2002) cautioned about the permeability of cultural boundaries, which logically would hold true for sub-cultures as well. Schein (1996) offered a discourse on operator, engineer and executive sub-cultures; the latter two of which are pre-disposed to seeing employees as commodities. For executives in particular, Schein (1996) noted that as the leader rises through the ranks, they can have a predilection towards losing the human connection vital in previous roles (e.g., when a first-line supervisor), in favor of a business acumen focus. Thus, learning scholars should advance research exploring how C-suite leaders can effectively approach inculcating organizational culture change in light of their relationship with apparent sub-cultures.

• Another research domain for learning scholars is the extent to which leaders are included by employees into the organization’s social fabric. Drawing on Van Maanen and Schein (1979), leaders can vacillate between the outer periphery and the inner core. Of key concern to leadership research is that a leader’s position on the inclusionary spectrum is a function of his or her value as perceived by the employees. Moving towards the inclusion center is tantamount to employee acceptance which is predicated on the perception that the leaders and employees share assumptions on what is or is not important to the organization. A research perspective emanating from this study is that employees hold considerable power in deciding whether and to what extent leaders will be integrated and socialized into the organization. Therefore, reinvigorating Van Maanen and Schein’s (1979) work into contemporary organizational milieus would benefit learning scholarship. Empirical research, using both quantitative and qualitative methods, would heighten an understanding of how leaders can be better equipped to successfully navigate through organizational culture dynamics and complexities.

• Public sector-specific research opportunities exist. Public sector institutions have a natural tendency to focus on meeting constituent needs. Given their constituency focus, public institutions would be well served to take an inclusive stance towards cultural issues, bringing in multiple perspectives to address myriad and diverse interests. “Who is included or excluded will determine to a considerable extent the content of a cultural portrait” (Martin, 2002, p. 325). Geographically dispersed public sector institutions need to consider organizational and adjacent societal culture(s) alignment (Martin, 2002). Lastly, subcultures need not be considered as mutually exclusive: rather, Martin (2002) suggested that subcultures can overlap, thereby preserving commonalities and differences. The public sector is by no means immune to the sub-culture phenomenon.

• Learning scholars can capitalize on the relative lack of research amalgamating leadership, organizational culture and the public sector. Using the Albert and Whetten (1985) organizational identity model, many public sector organizations would be categorized as normative. If, however,


a new leader with cultural change inclinations comes from a utilitarian background, cultural and identity issues may emerge (Albert & Whetten, 1985).

• Piderit (2000) notes that we should retire the phrase "resistance to change" and advocate a multidimensional approach that focus on attitudes. In order to accomplish this transition, she outlined five key implications for research which this manuscript advocates may help to bridge the new leader and organizational culture chasm.

1. A multidimensional view of employee responses that can predict employee behaviours in response to planned cultural change. By emphasizing shared values, employees can be included in the change efforts and their responses can be more predictable. Learning scholars should become conversant in cultural dynamics and in assessing their own organization’s culture.

2. Investigate the positive and negative effects of ambivalence. Piderit noted that ambivalence can provide a basis for motivating new action. Leaders should engage and energize employees through focused effort. Employee engagement requires entropy (Shuck & Herd, 2011).

3. Focus on change "managed in emergent and democratic ways" (Piderit, 2000, p. 791). As noted in Theme 1 above, culture demands open, transparent communication.

4. Learn how to better manage change efforts. There is a wide array of change research available (e.g., Orton & Weick, 1990), and scholars should appreciate how change is an essential component of the learning discipline.

5. Embrace qualitative research, especially as regards culture. Use relevant methods including purposeful selection, interviews and symbolic representations such as drawing (Hatch, 2011). These types of inquiry and methods will help leaders discern and understand employee perspectives, feelings and concerns.

For Learning Practitioners

Leaders need learning practitioner guidance and expertise, in the following ways: • Acculturate new leaders. In this manner, acculturation is not just a training course (although, it is

contended that any orientation course should include substantive content on the culture). As part of an indoctrination program, learning practitioners should orient new leaders (and all new employees, for that matter) on traditions, norms, values and how the work gets done (Martin, 2002). Learning practitioners are encouraged to consider robust acculturation opportunities for new leaders, so that they understand the conventions and ideologies that preceded their arrival.

• Trust and credibility influence the leader’s capacity and ability to shape cultivate organizational culture (Dull, 2010). Learning practitioners should encourage leaders to demonstrate their capability and build trust before embarking on widespread cultural change efforts.

• Partner with new executives to help understand their personal vision, mission-related agendas. As important, help those executives imagine what a dream organization looks like. What culture is needed to support that ideal? How does that align with the current modus operandi?

• Acclimate to the various cultural instruments that exist to help shape and inform the leader’s vision. Leaders need practitioner counsel to illuminate their thinking on the art of the possible. Leaders should focus on how to first perceive and then engage culture. This can be done by communicating a leadership philosophy and conducting an organizational assessment (Hartmann & Khademian, 2010). In so doing, leaders should be aware of their own cultural perspective tendencies and then study the other perspectives in order to learn how those perspectives manifest within that organization (Martin, 2002).

• There appears to be an inverse relationship in (a) the speed of change for power, strategy, and structure and (b) the speed of change for culture. Learning practitioners should urge leaders to take small, incremental steps in cultural adjustments (Hatch, 2011). New leaders should balance


their robust change agenda with the equally legitimate imperative to first understand the organization’s culture.

• The role of affect should be promoted, not suppressed. Leaders can model affective behaviour; for example, by sharing their own emotions with employees. Learning practitioners can help develop in leaders the requisite skills to publicly empathize and otherwise feel emotions that employees may be covertly harbouring.

• Using Schein (2010) as a springboard, the author suggests seven steps for creating a psychological safety net that learning practitioners can promote for leaders trying to manage cultural change:

1. A compelling positive vision – this requires learning practitioners to work with the leader in answering questions such as: What is the business case for employees for the change? Why would they be better off as a result of the change? Is it really the culture that needs changing, or a different specific problem? What problem are you trying to solve? Why do these problems appear to exist? According to whom?

2. Formal training – what new skills are required to make the change successful? 3. Involvement of the learners (employees) – How can employees learn the cultural change

in a way that works for them? 4. Practice, coaching and feedback – How can leaders provide an environment in which

mistakes or failures are acceptable? 5. Positive role models – How can leaders demonstrate and model desired cultural

behaviours? In what ways can leaders show their humility? What does success look like? 6. Networks – to whom can learners converse without fear of reprisal? What types of peer-

to-peer learning are leaders making available? 7. Reinforcements – how are leaders codifying the cultural change so that it achieves a

higher order of acceptance (i.e., moving from visible artifacts to the meaning that employees attribute to those artifacts, per Hatch (1993))?

LIMITATIONS

The following limitations are acknowledged, and others likely exist: • Although senior leaders were interviewed for this case study, the CEO was not interviewed. This

was intentional, for purposes of discerning the influence that existing employees possess in an organizational culture context. However, gaining the CEO’s perspective would have added another dimension to the research.

• This was a case study at a point in time, specifically, during the leader’s nascent phase into the PSO. A longitudinal case study or ethnography (Creswell, 2007) would have contributed additional insights in terms of the leader’s effectiveness in changing or managing the culture. Additionally, a longitudinal or ethnographic study would have thickened the PSO’s cultural description (Geertz, 1973).

• A comparative case study (Creswell, 2007) might have lent further insights in terms of comparing leadership and cultural dynamics across multiple organizations, be they all within the public sector or comparing public and private sector entities.

• A qualitative research method such as the one used herein allows for a greater understanding and discovery of a phenomenon – in this manuscript, understanding how culture influences new leaders as well as the employee’s perspectives as regards the leader. Qualitative studies are not typically intended to be generalizable beyond the scope of the research. Therefore, while the implications section of this manuscript may provide reasonable face validity (Maxwell, 2005), the lack of robust quantitative research is a limitation from a generalizability standpoint. The use of validated organizational culture models (e.g., Denison, Janovics, Young, & Cho, 2006) would


further strengthen change efforts as well as the requisite sanctioning needed in accordance with the new definition of culture proposed in this manuscript.

CONCLUSION

This study explored the dynamic of leaders new to an organizational culture setting. Using the PSO as a research site while it is in the throes of undergoing a series of cultural changes generated some noteworthy findings. Themes indicate that building trust and leveraging the role of affect are needed. To that end, within the PSO it appears that the leader’s change efforts are not yet aligned with the change agents who have codified the PSO’s cultural essence. The temporal nature of culture can be a strength or hindrance but, as Schein (1992) noted, is dependent upon leadership to provide desired direction. Hatch (2011) issued cautionary remarks that seem particularly salient for the PSO leadership: “hyperadaptation risks cultural degeneration when actions diverge from values” (p. 354). In the extreme, promoting radical change and discarding the status quo can confuse followers, create paranoia, and question leader motives (Kouzes & Posner, 1987). An incremental approach should be used to produce enduring yet differentiated cultures. Learning as a discipline should capitalize on these opportunities by demonstrating its value in solving leadership and cultural friction. REFERENCES Albert, S., & Whetten, D.A. (1985). Organizational identity. In L.L. Cummings and B.M. Staw (Eds.)

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APPENDIX A EXPLANATION OF HATCH (1993)

ORGANIZATIONAL CULTURE DYNAMICS MODEL Table A1 Hatch (1993) Organizational Culture Dynamics Model Process Definition

Manifestation

Any process by which an essence reveals itself, through the senses, cognition and emotion. Manifestations permit cultural assumptions to reveal themselves to organizational members. Translates intangible assumptions into recognizable values. Modes Definition Proactive Assumptions provide expectations that influence perceptions,

thoughts and feelings – and are capable of organizing action and experience.

Retroactive Retroactively maintain or alter existing assumptions. In maintenance, values and assumptions are harmonious. Altered assumptions could produce random variance or innovation.

How to Study How organizational expectations come about. An imaginative act in which an expectation of a situation and its potential is produced via cognitions, emotions, and perceptions grounded in cultural assumptions.

Realization

Definition Making something real (not pretended or merely imagined), to bring it into being. Modes Definition Proactive Transforms values into artifacts (e.g., rites, rituals, stories). Related

to Weick’s notion of enactment and materialization of ideas. Retroactive Recognizes post hoc contribution of artifacts to values and to

expectations of “how things should be”. These contributions can either reinforce the value system or could introduce artifacts that challenge values and expectations.

How to Study How values and expectations are used and maintained or transformed in the course of constructing behavior that has tangible outcomes.

Symbolization

Definition The ways in which physical forms are produced and used by organizational members (e.g., giving flowers to someone: the symbol is the flower, but symbolization is the gesture of appreciation. Symbolization combines an artifact with meaning that reaches beyond or surrounds it. Modes Definition Prospective Experiencing objective forms shift to an awareness of things as

having both literal and surplus meaning. (surplus = full meaning less literal meaning; e.g., what the flowers mean less the flower itself)

Retrospective Enhances the awareness of the literal meaning of the symbolized artifacts. Not all artifacts are given equal treatment within the symbolic field. Does someone’s desk attain greater meaning based on whose desk it is?

How to Study Studying symbolization calls for direct involvement. Requires adaptation of aesthetic techniques (e.g., acting, writing, drawing, photography) to the study of organizations.


Interpretation

Definition The meaning of an experience. Two aspects: altered understanding of symbolic meaning via retrospective interpretation and revisions to cultural assumptions via prospective interpretation. Per Wilson, “we develop an account in a hermeneutic fashion, forming ideas about overall patterns on the basis of particular events, and then using these same ideas to understand more clearly the particular events that gave rise to them”. How to Study Investigating how symbols mold and are molded by existing ways

of understanding. Typically uses ethnography. Note: Adapted from “The Dynamics of Organizational Culture” by M.J. Hatch, Academy of Management Review, 1993, pp. 657-683. Copyright 1993 by the Academy of Management.


An Integrative Trust Model in the Coaching Context

Jovana Markovic Barry University

Jean M. McAtavey Barry University

Priva Fischweicher Barry University

This paper presents a conceptualization of trust in the coaching context. Despite the vast presence of prescriptive literature, research exploring the process of coaching is minimal. In order to achieve coaching outcomes trust must be established; however the role of trust in the coaching relationship seems to be implicitly understood and remains unexplored. In light of the gap in knowledge, this paper focused on trustworthiness factors that contribute to trust development in the coaching relationship and introduced a trust model based on three critical factors for trust development: ability, benevolence, and integrity. The model could be utilized by coaching professionals in order to effectively develop, promote, and sustain clients’ trust. The paper also presents a practical application of the model. INTRODUCTION

Over the past decades, the business environment started recognizing the impact of trust on organizations’ strategic success and its significant contribution on acquisition of competitive advantage (Castaldo, Premazzi, & Zerbini, 2010; Schoorman, Mayer, & Davis, 2007; Sherwood & De Paolo, 2005). The research has generated considerable evidence on trust’s numerous benefits for both individuals and organizations (Kim, Ferrin, Cooper, & Dirks, 2004). The importance of trust has been further recognized in leadership, performance management, job satisfaction, knowledge sharing, and organizational commitment (Castaldo et al., 2010; Hatzakis 2009; Lee, Gillespie, Mann, & Wearing, 2010; Mooradian, Renzl, & Mateler, 2006; Lount, 2006; Mayer, Davis, & Schoorman, 1995). Also, increased workforce diversity among organizations has reinforced the importance of trust (Mayer et at., 1995).

Trust is a key element in every social interaction which provides the foundation for effective relationships (Hardin, 2006; Reina & Reina, 2006). For example, professional relationships are more productive and less costly when trust is established (Lount, 2006). The decision to trust an individual is a complex cognitive and affective process involving various factors, from estimates of potential costs versus rewards and personal vulnerability to expectations of individual’s benevolence in an exchange characterized by future uncertainty (Kenworthy & Jones, 2009).

In the coaching setting, establishing a relationship of trust constitutes a first step in the coaching process that allows the relationship to grow and flourish while increasing the likelihood for elevated


performance (Baron & Morin, 2009; O’Broin & Palmer, 2010; Peterson, 1996). Nevertheless, little research currently exists and has been dedicated to characteristics and qualities important in the formation of coaching relationships (O’Broin & Palmer, 2010). One of the top characteristics of an effective coaching relationship is the ability to form a strong connection with the client while achieving a fine balance between support and challenge (Bluckert, 2005). In order for a client to take risks necessary to learn, develop, and change, the coach has to create a safe space and develop trust. Only through trust can a client feel safe enough to reveal vulnerabilities, expose mistakes and deficiencies, and ultimately grow. Even though researchers have largely emphasized the positive sides of trust, the lack of trust in the coaching relationship leads to various negative implications (O’Broin & Palmer, 2010; Kim et al., 2004). This is why any discussion about effectiveness of a coaching relationship acknowledges the importance of trust. A side from being recognized and developed in the relationship, trust also has to be sustained throughout the process otherwise, it is difficult and costly to regain trust and reach a desirable productivity level (Cladwell & Jeane, 2007).

CONCEPTUAL FRAMEWORK

The paper draws on the contemporary literature in organizational trust and coaching. The literature review was derived from the several subject areas: business, management, and psychology. Databases utilized include: PsycInfo, Emerald, and ProQuest. Keywords for the search criteria were: organizational trust, coaching, trust building model, and an integrative model of trust. The primary aim of this paper is to provide novice and experienced coaching professionals with a clear and concrete factors that promote, build, and sustain trust in a coaching relationship. The paper revolves around the question: how can one effectively promote trust within the coaching relationship?

A well established model of trust called “An Integrative Model of Organizational Trust” was used as a basis for our conceptual framework. According to the model, ability, benevolence, and integrity are important antecedents of trust (Mayer et at., 1995; Schoorman et al., 2007). The implication of the ability as an antecedent of trust is that it creates a framework of trust that is domain specific. The level of trust within the same relationship may vary based on the ability across different domains. Accordingly, the approach to trust as domain specific enables the adaptation of the model in the coaching setting.

A conceptual framework for coaching practice was guided by Self-Determination Theory (SDT). Based on SDT, the coaching relationship should support the coachee’s satisfaction for the three basic psychological needs: autonomy, competence, and relatedness (Spence & Oades, 2011). The coachee’s performance is conditioned by the satisfaction of his/her needs to freely engage in activities (autonomy), produce via the use of his/her capacities (competence), and form social connections (relatedness). The presence of a coach provides the coachee with autonomy support, by valuing the coachee’s personal interests; with competence support, by acknowledging the coachee’s capacities and strengths; and with relatedness support, by exhibiting genuine caring, trust, and honesty. With an SDT approach, the coach provides relatedness support through development of a trusting relationship which creates a platform for effective coachee development. COACHING PRACTICE

Coaching with its broad application and interdisciplinary roots has advanced considerably in the past few decades (Griffiths & Campbell, 2009; Moen & Federici, 2012; Spence & Oades, 2011). Complex business environments have led to the rise of organizational coaching used as a strategic tool for enhancing job performance (Bennett & Bush, 2009; Stewart, Palmer, Wilkin, & Kerrin, 2008). The aim of coaching is to help individuals or groups become self-directed in their learning and development (Bennett & Bush, 2009). Coaching is concerned with improvement of individual’s cognitive and emotional self-regulation (Spence & Oades, 2011).

Many organizations have made coaching an integral part of their employee development programs (McDermott, Levenson, & Newton, 2007). Initially utilized exclusively for executive and leadership


development, nowadays coaching is used at all levels within organizations (Bennett & Bush, 2009). Growth and development, as central elements of coaching, may be quite challenging and can impede the attainment of desired outcomes (Moen & Federici, 2012; Spence & Oades, 2011). Therefore, a client should be met with respect, cooperation, and trust which establishes the platform for the important coaching work to follow (Ives, 2012; McComb, 2012).

Coaching Defined

Coaching is a one-on-one working relationship that serves to fulfill an organization’s performance goals and needs (Swanson & Holton, 2009). Peterson and Hicks (1996) have defined coaching as “the process of equipping people with the tools, knowledge, and opportunities they need to develop themselves and become more effective” (p.14). According to Ives (2012) coaching approaches can be categorized into three paradigms: goal-focused, developmental, and therapeutic. Goal-focused coaching operates at the first level of change while developmental coaching seeks to affect a lasting change and helps an individual learn new behaviors and beliefs. Therapeutic coaching focuses on achieving a profound inner change. Griffiths and Campbell (2009) defined coaching as “a goal-directed, multi-faceted process for enhancing people, work and life” (p.17). This definition acknowledges the commonalities that underpin most forms of coaching like goal-directed orientation and universal outcomes regardless of the coaching form being applied. THE CONSTRUCT OF TRUST

Although vastly researched, trust remains an interpersonal phenomenon without universally adopted definition (Hasmer 1995; Kramer, 1999; Lount, 2010; Righetti & Finkenauer, 2011). This is one of the reasons why the study of trust is considered to be problematic (Mayer et al,, 1995). The most common definition represents trust as an individual’s willingness to become vulnerable to another individual with some hope of a positive outcome (Lount, 2006; Mayer et al., 1995; Sherwood & De Paolo, 2005).

Another reason that may make the construct of trust difficult to define is the confusion between trust and its antecedents (Mayer et al., 1995). This results from using various terms like risk, cooperation, predictability, and confidence synonymously with trust. For example, trust is not equal to risk or taking a risk per se, but represents a willingness to take a risk. Trust leads to a risk taking in relationships and refers to a person’s awareness that something is jeopardized and could be lost if another person is not acting favorably (Righetti & Finkenauer, 2011; Schoorman et al., 2007). The Foundations of Trust

According to Hatzakis (2009) trust has two foundations – cognitive basis and affective basis. Cognitive basis of trust is formed based on evidence, while affective trust is related to human emotions. In the majority of professional relationships, ambiguity is always present to a certain degree. Finding the right course of action requires an individual to form a judgment, and according to Hardin (2006), this judgment does not involve choice. For cognitive based trust, knowledge we gain about the trustee (a party to be trusted) determines whether we are going to trust that person. When people trust, that means they know or think they know, just enough information needed for trust to develop. Therefore, wrong information could mislead people into trusting or mistrusting. Generally, people trust over certain ranges of actions. This outlook on trust is based on rational theory that emphasizes the importance of interest. It states that trust is generated when a person has a reason to believe that it is in the other person’s interest to be trustworthy in a relevant context (Hardin, 2006). From the rational stand point, trust grows gradually between strangers and over certain ranges of actions, while the initial trust is low (Hardin, 2006; Lount, 2006).

A more recent approach to trust involves affective responses (Schoorman et al., 2007). According to this approach, emotional states have an effect on trust. For example, emotional attachment can cause the trustor to take a risk not necessarily warranted by any evidence. Proponents of the cognitive approach argue that even though emotions could affect trust, it is only temporary and soon after one would return to


a rational perspective. The model that we further discuss takes a cognitive approach to trust (Schoorman et al., 2007).

The Model of Organizational Trust

In 1995, Mayer et al. integrated various perspectives on trust by scholars from diverse disciplines and developed a model of trust named “An Integrative Model of Organizational Trust” (See Figure 1). The model has a general application, on both the macro and micro levels of an organization and it can be used across multiple disciplines. The model received broad empirical support and has been used in various organizational settings since its development (Lee et al., 2010; Schoorman et al., 2007).

The model consists of trustor’s characteristics, trustee’s characteristics, and the relationship between trust and risk. The trustor’s trait, a propensity to trust, is defined as an individual’s expectation about the trustworthiness of others. People’s propensity to trust varies due to different personality types, cultural background, and developmental experiences (Mooradian et. al, 2006; Schoorman et al., 2007). This trait influences the probability of the extant to which a party would trust. The propensity to trust is a stable factor across different situations and may help explain the variance in trust among individuals.

FIGURE 1

AN INTEGRATIVE MODEL OF ORGANIZATIONAL TRUST

Established factors of trustworthiness or trustee’s characteristics are individual’s ability, benevolence, and integrity. Perception about an individual’s ability, benevolence, and integrity has an impact on how much trust one can generate (Mayer et al., 1995; Schoorman et al., 2007). The ability factor refers to a set of competencies one has within a certain domain. This means a person could possess ability in one specific area and therefore be trusted with work in that area. The benevolence factor is represented as the extent to which a person is believed to have a good intention. This factor could be described as the trustee’s positive orientation towards the trustor. The integrity factor is defined as abiding by a set of principles and being held accountable for following through (Mayer et al., 1995). The time dimension concerning these three factors varies. For example, trustor’s judgment on trustee’s ability and integrity forms quickly while benevolence takes more time.

All three trustworthiness characteristics are theoretically distinct but have an additive quality in determining the level of trust (Schoorman et al., 1996; Schoorman et al., 2007). Each factor is insufficient to cause trust unless all three factors are high. All three factors need to be considered in making a choice about trust.


The Trust Model in the Coaching Context Through the previously established conceptualization of trust, the researchers developed a trust

building model aimed towards a coaching context. This model is based on the portion of “An Integrative Model of Organizational Trust” that contains factors that contribute to trustee’s trustworthiness - ability, benevolence, and integrity (See Figure 2). Even though the model deals with the factors involving both parties – trustor and trustee, the model does not assume that trust in dyadic relationships is reciprocal. Although trust is viewed as mutual and reciprocal in the leadership literature, empirical studies on the reciprocal linkage are rare (Schoorman et al., 2007). Since this paper is aimed to help coaching professionals garner clients’ trust our focus is solely on the trustee – a coach.

FIGURE 2

PROPOSED TRUST MODEL IN THE COACHING SETTING

Ability

The first trustworthiness factor, a coach’s ability, relates to a set of skills and characteristics necessary for effective coaching. The coach utilizes a variety of behavioral science techniques and methods to help a client achieve job-related goals and improve performance (Bennett & Bush, 2009). Technical expertise and problem solving skill are the two elements exemplifying a coach’s ability factor (Nguyen, 2010; Sirdeshmukh, Singh, & Sabol, 2002). Technical expertise refers to certification acquired via professional coach organization, completed formal coach training, or a master’s and/or doctoral degree in a related fields, such as psychology, communications, training, or adult development (Bennett & Bush, 2009). Problem solving skill represents an ability to solve and manage situations of conflict and to take into consideration all parties involved, both client’s and employer’s needs. A coach should constantly demonstrate the ability factor. According to Bluckert (2005) when the coach is perceived as incompetent, lacking skills and understanding to operate as a proper guide and safety net, the client is led to a real sense of anxiety. Anxiety, as a form of low emotional stability, leads to withholding of trust (Kenworthy & Jones, 2009). Also, induced anxiety may affect coaching transfer by undermining the client’s motivation to learn (Stewart et al., 2008). Therefore, it is important for a coach to consistently exhibit the ability factor throughout the coaching process. Benevolence

The second trustworthiness factor, benevolence, relates to a coach’s intentions to serve the client’s best interest. Sirdeshmukh et al. (2002) refer to benevolence as “operational benevolence” which recognizes that motivation for benevolence needs to be operationalized and visible. While exploring the


client’s goals and views of the work situation, a benevolent coach would provide support, restrain from self-serving opportunism, express consideration for the client’s welfare through empathy and non-judgmental behavior, and move beyond the conditions of the explicit contract. According to Bluckert (2005), coaches often find it difficult to take a non-judgmental approach and for the same reason many also have a problem expressing empathy. Therefore the benevolence factor in the coaching setting has the potential to be more challenging than the other two factors.

Furthermore, the research explored the factors that elicit and affect benevolence in a context of business import-export relationships and found cultural familiarity as an important variable (Lee, Lee & Suh, 2007). Workplace diversity may cause employees to be less able to relate to each other based on the lack of similarities or common background. When this situation is present the need for and importance of benevolence is reinforced (Schoorman et al., 2007). Therefore, a benevolent coach should acquire a cultural familiarity that refers to coach’s familiarity with the client’s country of origin, its business practices, language, and political systems (Lee et al., 2007). For example, according to Mayer et al., (1995) cultural values influence individual’s cognition and since trust is based on a cognitive foundation we could assume that cultural background could potentially influence client’s trust. Through an understanding of cultural knowledge, a coach is able to adapt to the client’s cross-cultural differences and to appeal to his/her way of thinking (Bluckert, 2005). Integrity

The last trustworthiness factor, integrity, comes from reliable promises, sharing of valid information, and expressions of honesty. Integrity is marked by values like openness, sense of deep commitment, self-expression, honesty, respect, reliability, discipline, and personal responsibility (Gardner, 2006; Kingley, 2005). Kingley proposed a process named ‘integrity mapping’ for maintaining and developing integrity. The process consists of constant reflection and application of core values which build integrity. A person with integrity constantly takes time for reflection and daily analysis. A coach could create a list of professional values, define each value, prioritize these values in order of importance, and regularly reflect on these values to keep them alive. While demonstrating these values by using them in everyday interactions with a client, a coach would be perceived as a person of integrity. Even before the coaching relationship starts developing, the client will most likely obtain information about a coach’s integrity through a third-party source in order to be assured that a coach is a reputable person with a result proven track record.

A coach’s ability, benevolence, and integrity are equally important in gaining the client’s trust. For example, the client may believe that the coach is able to provide a quality service, but that only ensures that the coach would be able to perform, but not necessarily be willing to perform. Also, the perception that the coach has integrity suggests fulfillment of the promised service, but if the coach’s ability is questionable, again there will be no trust. Furthermore, if the coach is perceived as benevolent, but his/her track record with previous clients is inconsistent, again trust will be lacking. The client will most likely take all three factors – ability, benevolence, and integrity, into consideration before making a decision to trust. Therefore incorporating a developed trustworthiness model into a coaching process may increase the likelihood of success in terms of gaining a client’s trust and establishing a sound foundation for a coaching relationship. Practical Application

The trustworthiness factors could be implemented throughout various coaching models. Zeus and Skiffington’s (2003) four stages of coaching process will be used to illustrate how to implement the trustworthiness factors throughout each stage of the process.

At the first phase with a client the coach could demonstrate the:

• Ability factor by clarifying the role of a coach in the process and explaining the logistics of the coaching program.


• Benevolence factor through openly asking the client how he or she may feel about the process and also be familiar with the client’s cultural background.

At the second phase when working with a client, the coach could demonstrate:

• Ability while introducing issues of trust and discussing the confidentiality agreement. • Benevolence through inquiring about potential concerns and what trust means to the client. • Integrity while sharing an established summary of professional values with a client.

At the third phase when working with a client, the coach could demonstrate:

• Benevolence while listening to a client’s reports about successes and failures and addressing identified obstacles and difficulties with empathy and a non- judgmental approach.

At the fourth phase when working with a client the coach could demonstrate:

• Integrity while reflecting on everything that has been done in the previous phases and developing a specific strategy that would allow a client to stay on track maintaining what has been learned throughout the coaching process.

CONCLUSION

Because of the rapid growth in the field of coaching over the last decade, considerable perplexity surrounds the understanding of coaching (Griffiths & Campbell, 2009). The aim of this paper was to offer coaching professionals and organizations the practical steps on how to foster a trusting relationship with a client. The coach’s ability to form a trusting relationship determines the extent to which a client will accept the coach’s perspective and thus change. This article takes a step towards developing a theoretical basis and practical guide to trust development in a coaching setting. The proposed trust model includes trustworthiness factors and describes how each factor contributes to the formation of trust in the coaching relationship. The model could be utilized by coaching professionals in order to effectively develop, promote, and sustain a client’s trust. RECOMMENDATIONS

The model presented in this paper focused solely on a coach’s perspective. Therefore a propensity to trust that represents a client’s trait was not examined. For future research, it would be useful to incorporate a client’s perspective. The propensity to trust is viewed as a comprehensive factor that is conditioned on a client’s personality type, cultural background, and developmental experience. Identifying specific personality types and their effect on an individual’s propensity to trust would help coaches tailor the coaching relationship to individual clients. Moreover, the effect of culture on the perceptions of ability, benevolence and integrity is a potential area for future research. For example, action-oriented, competitive cultures tend to place more value on the ability factor while collaborative cultures tend to place more value on the benevolence factor (Schoorman et al., 2007).

The length of the coach-client relationship has a different impact on each trustworthiness factor. A client’s judgment about the coach’s ability and integrity could form rather quickly in the course of the coaching relationship while benevolence factor requires more time. Furthermore, according to Schoorman et al., (2007) in a long-term working relationship, benevolence would have more influence than integrity. Future studies could explore the time dimension for each factor along with their influence within different time frames. This would allow coaches to exhibit ability, benevolence, and integrity in accordance with the given length of the coaching relationship.

Lastly, today’s organizations are increasingly utilizing virtual coaching to connect with clients worldwide (Bennett & Bush, 2009). This involves coaching done entirely over the phone or internet, via email or text messaging. While coaches have new technologies at their disposal to deliver coaching,


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Cultural Differences in Organizational Commitment

Noor Rahmani Gadjah Mada University

This study investigates predictors of organizational commitment i.e. allocentrics, procedural justice and servant leadership based on the moderating effect of work meaning. A survey of 195 employees of a state owned hotel in Yogyakarta, Indonesia was analyzed using the Structural Equation Modeling. Result indicated that allocentrics and procedural justice positively predicted organizational commitment while servant leadership had no effect on organizational commitment. Result were explained in terms of cultural differences, particularly the opposite result of the relationship between allocentrics and organizational commitment, compare to its counterpart in the west, and the similar result of the relationship between procedural justice – which is a western value – and organizational commitment. INTRODUCTION

Organizational commitment is an important factor in the hearts of employees because it will bind

employees to keep working in the organization and contribute to the performance of the organization. Low organizational commitment will result in high employee intention to leave and if this condition is experienced by many employees, the problem of turnover will influence the organization performance given the high cost of recruitment, new employee orientation, training needed to gain the competencies required and delayed productivity due to the adjustment of new employees, decrease in integration among employees, employee demoralization, which then affects the effectiveness and productivity of the organization (Abbott, White & Charles, 2005; Arnold & Davey, 1999; Camp, 1994; Chughtai & Zafar, 2006; Cole & Bruch, 2006; Jones, Jones & Prenzler, 2005; Kibeom, Meyer, & Kyung Yong, 2001; Wasti, 2003). On the other hand, high organizational commitment will result in the employee loyalty to the organization and will contribute to organizations that exceed expectations and achieve excellent performance (Chen, Hwang & Liu, 2009; Chughtai & Zafar, 2006; Francesco & Chen, 2004; Karrasch, 2003; Meyer, Paunonen, Gellatly, Goffin, & Jackson, 1989;, Meyer, Stanley, Herscovitch & Topolnytsky, 2002; Riketta & Landerer, 2002; Siders, George & Dharwadkar, 2009).

Research conducted by Watson-Wyatt Worldwide entitled WorkAsia (2004) revealed the attitude of employees throughout Asia. The survey involved a sample of more than 115,000 employees from 515 companies in 11 countries, e.g. Indonesia, Malaysia, Thailand, Singapore, Taiwan, China, Australia, Japan, India, South Korea and the Philippines. In this survey, Indonesia was represented by more than 8,000 respondents from 46 companies in 14 industries. The number of Indonesian respondents accounted for 9% of the total survey sample WorkAsia (2004). Associated with the desire to change job, the survey results showed a controversy of the Indonesian respondents. The data shows that as many as 85% of employees feel proud to work for their company (number of employees exceeds the Asia Pacific region only 77%), 80% of employees believe the company's long-term success (this figure exceeds the Asia


Pacific region that only 72%), but only 35% of employees in Indonesia want to stay in the company, the rest have the intention to leave the company for another company with almost equal in terms of salary, position and job scope. This fact shows that compared with the results of the survey for the Asia-Pacific region where 57% of employees chose to survive despite similar available positions at other companies, then Indonesian employees are considered to have the lowest commitment compared to the 10 Asian countries surveyed.

Major research on organizational commitment is generally performed in the United States. Several studies results conducted outside the United States were found to have similarities with the results of research conducted in the United States (Irving, Cawsey & Cruikshank, 2002; Gautam, 2004; Carmeli, 2005; Addae & Parboteeah, 2006; Chughtai & Zafar, 2006; Chen et al., 2009).

However, in contrast to the results of studies that have been discussed above, there are different findings such as research by Near (1989) which suggest that structure, organizational context, perceptions of job characteristics and personal practice were lower in variance to the Japanese respondents compared to United States respondents. Pearson and Duffy (1999) found that for nurses of Australian origin, contents of the task have a significant relationship with organizational commitment, while for nurses from Malaysia, the context of the task have a significant relationship with organizational commitment. Chen and Francesco (2000) found that in China positions affect employees’ commitment while gender and other demographic variables not. North and Hort (2002) found that the dimensions of commitment in the United States was not in accordance with the respondents from Malaysia and Thailand who prefer relationships with colleagues, customers and superiors more important than the opportunity to achieve personal success. Gelade, Dobson and Gilbert (2006) compared organization commitment with respondents from 49 countries. Finding suggest that affective commitment varies significantly among the countries sampled, influenced by socio-economic conditions. In countries with low levels of unemployment, high level of economic activity and adopt egalitarian culture, affective commitment is higher.

Given the importance of organizational commitment to employee performance and the willingness of employees to remain loyal to the organization, predictors of organizational commitment in Indonesia needs to be researched. LITERATURE REVIEW Organizational Commitment

Allen and Meyer (1996) developed the concept of organizational commitment based on the commitment given the emotional attachment labeled affective commitment and a commitment by the transaction given the label of continuance commitment. Affective commitment is the extent to which members of the organization identify and engage themselves to the organization in which he or she works. Emotional affective commitment (Kanter, 1968) and attitude (Sheldon, 1971) bind employees to the organization, which result in the harmony, compatibility and integration between employees' personal goals with organizational goals (Mowday, Steer & Porter, 1979; Price & Mueller, 1981). On the other hand, continuance commitment reveals the extent to which sustainability commitment of the organizational members associated with the organization's presence in the cost-benefit considerations underlying the decision to continue working in the organization or leaving the organization.

Furthermore, Allen and Meyer (1996) put forward a new development of the concept of existing commitments, by presenting the concept of normative commitment. According to Allen and Meyer (1996), normative commitment is defined as a belief in oneself a responsibility to keep working in the organization. This concept refers to the definition proposed by Baack, Luthan and Jerry (1991) on organizational commitment, which reported an internalized normative pressure in a person to act in accordance with the goals and interests of the organization. The reason for the action was merely that the action was believed to be the right thing to do morally. Employees with high normative commitment has a need to remain committed to the organization regardless of their feelings to the organization. Unlike the


concept of affective commitment and continuance commitment, the concept of normative commitment received less attention from researchers.

However, Allen and Meyer (1996), found that most research on commitment were focus on affective commitment, which has strong ties to performance, while continuance commitment were found to have a negative relationship with performance, and in some studies, normative commitment were found to be correlated with the performance but this relationship is still very little researched. Therefore, this research will be focused on affective commitment approach.

Meaning of Work

Yoon and Thye (2002) suggested that in order to understand the development of commitment, one should consider the proposed concept of two levels of change in employees mind. First level of change is the impact of events experienced by employees at work (i.e. implementation of company rules, regulations, payroll, employer attitudes, income policy, promotion decisions, atmosphere, acceptance and other events in the organization). Events that occur will result in the changes of knowledge and attitudes i.e. employee satisfaction, perception of being supported by the organization (Yoon & Thye, 2002) or perception of work as meaningful (Arnold, Turner, Barling, Kelloway, & McKee, 2007).

In this study, the results of the first rate change is how employees interpret their work (Scroggins, 2008). There are three meanings influencing affective commitment. First, the meaning of centralization, is the extent to which values in the society considers the importance of work in the context of everyday life. Second, the meaning of the exchange, is the extent to which employees interpret the work as a mutual relationship that benefits both parties, and thirdly, the meaning of interpersonal relationships, how it provide comfort in social interactions, especially with superiors.

The meaning of centralization will be reviewed from cultural concept, allocentrics in particular. The meaning of the exchange will be reviewed from the concept of procedural justice, whether exchanges established justly will lead to meaningful work and enhance employee’s affective commitment to the organization. The meaning of interpersonal aspects will be focused on the relationship with supervisor, based on the concept of servant leadership, which serve as a source of comfort in social interactions in the workplace and improve employee affective commitment. Allocentrics

The study of culture and psychology must be examined in terms of the level of analysis. Triandis (2001) found that on the community level, factor analysis indicated that individualist and collective are different sides of a single dimension of culture. However, when the data were analyzed with the individual as the unit of analysis, there are several orthogonal factors that reflect individualism and collectivism for each individual (Triandis, Chan, Bhawuk, Iwao & Sinha, 1995). Triandis (2001) later suggested the use of different terminology between the findings on the community and individual level of analysis. For the individual level, Triandis (2001) proposed the terminology of idiocentrics and allocentrics, terms which widely used in text books of social psychology. This terminology would allow research on idiocentrics behaviors in a collective culture, or allocentrics behaviors in an individualistic culture. In reality, there will be more allocentrics in collective societies, and more idiocentrics in individualist societies.

Allocentrics and idiocentrics were defined as a situation-specific dispositions. Barsade and Chatman (1995) suggest that the nature present in all cultures. but on collective societies, the nature of the behavioral manifestations are lower than those in the individualistic societies. Effect of the situation is also universal in all cultures, but the effect of situation on behavior was higher in the collective than individualistic societies. Consistency in cognitive psychology and behavioral processes apply universally to all cultures but in the collective societies, it is not as important as those in the individualist societies.

The differences between allocentrics and idiocentrics can be viewed from various aspects such as self-definition, self-estimation, ethnocentrism, morality and communication. In terms of self-definition, allocentrics tend to refer themselves to a social entity. Triandis et al. (1995) found that the collective use of social content by 30% to 50% when describing themselves, whereas individualists using 0% to 20%.


Self estimation on the allocentrics tend to incline on solidarity, while idiocentrics are towards achievements and be the best. In addition, idiocentrics have the tendency to dominate while allocentrics prefer harmony. Allocentrics also associated with low self-estimation, it is easy to feel embarrassed and shy, affiliative, sensitive to social rejection and low need for uniqueness. Motivational structure on allocentrics reflect acceptance of others and hold down personal needs and desires, whereas idiocentrics reflect internal needs, rights and capacities, including the courage to resist social pressures (Markus & Kitayama, 1991). Idiocentrics characteristics include freedom, seek pleasure, assertiveness, creativity, curiosity, competition, self-assurance, efficiency, initiative, and straightforwardness. Allocentrics characteristics include attentive, respect, humility, obedience, responsibility, reciprocity, self-sacrifice, sense of security, tradition, conformity and cooperation (Grimm, Church, Katigbak & Reyes, 1999, in Triandis & Suh, 2002).

In terms of ethnocentrism, allocentrics tend to be more ethnocentric than idiocentrics, they will have more positive attitude towards the group and less positive attitude towards other groups (Triandis & Suh, 2002). In communicating, allocentrics give more attention to context rather than content while idiocentrics give more focus on the content rather than how to say words. In a collectivist society, the voice, gestures, eye contact and movement gives more meaning to messages, while in an individualist society, language is more important.

Comparative studies between allocentrics and idiocentrics found that social factors such as the approval of the family were weak predictors for idiocentrics, and strong predictors for allocentrics. Furthermore, job satisfaction and promotion are the main determinants of affective and normative commitment for idiocentrics, while satisfaction with the attitude of superiors is a major determinant allocentrics (Wasti, 2003).

Procedural Justice

The effect of procedural justice seems universally evident, supported by research conducted by Chugtai and Zafar (2006) in Pakistan, Chai-Amonphaisal and Ussahawanitchakit (2008) in Thailand, Choi and Mai-Dalton (1998) in China and Loi, Yue and Folley (2006) in Hong Kong. Those research suggest that procedural justice predicted organizational commitment. Therefore it can be assumed that for Indonesian respondents, procedural justice will also influence organizational commitment.

Folger and Konovski (1989) argues that procedural justice is more related to the evaluation of the system at an institution, whereas distributive justice is more related to the evaluation of a specific output. At the social level, Tyler and Caine (1981) as cited by Folger and Konovsky (1989), found that perceptions of procedural justice affect the evaluation of government leaders and institutions than distributive justice. Research also proves that procedural justice predict legitimacy and public support, compared to distributive justice. Lind and Tyler (1988) found that procedural justice influence leadership power in public sector.

Research in the organization level showed similar relationships between procedural justice with organizational output (Folger & Konovski, 1989; Napier & Tyler, 2008), suggesting that procedural justice have a major impact on the organization and leadership, as well as influencing long-term memberships of the organization. Further studies in the field of human resource management found similar results, such as research by Brown (2009) found that the accuracy of the determination of bonuses and promotions influence the perception of fairness and affects work behaviors. Promotion policy, skills training, and job security also predict employees’ performance (Chai-Amonphaisal & Ussahawanitchakit, 2008).

Motivation to achieve justice is an internal causal attribution when it comes to value. Trust in management will increase if the employees perceive the existence of management motivation to achieve justice in human resource policy and human resource management practices. Review of the implementation of human resource management practices in the organization found that assessment (performance appraisal), reward systems, and other information disclosure which reflect the exercise of justice result in the positive attitude and influence work behavior (Beeler & Hunton, 1997; Steensma & Visser, 2007).


Servant Leadership A servant leader is described as being able to manage various aspects of decision making so as to

maximize the wisdom of the organization. Most researchers strive to focus on the appropriate conceptual constructs such as altruism (Kanungo & Conger, 1993), self-sacrifice (Choi & Mai-Dalton, 1998), charismatic (Conger & Kanungo, 2000), authentic (Bass & Steidlmeier, 1999) , spiritual (Fry, 2003), and transformational (Bass, 1999; Avolio, Bass & Jung, 1999). Some researchers are still trying to explore the concepts underpinning the construct of servant leadership (Sendjaya, Sarros & Santora, 2008) although it seems that current empirical explanations hampered by lack of servant leadership underpinning theory and the absence of precise measurements.

Servant leadership suggested by Greenleaf (1970) stems from a feeling of pure consciousness to serve and followed by the willingness to lead. The main priority of a servant leader is to ensure that the people they lead get what they want. Indicators of success of a servant leader are the better, become healthier, wiser, more independent, more free followers, which in turn serving others.

Graham (1991) as cited by Barbuto and Wheeler (2006) stated that servant leadership served the highest moral charisma effect compared to other theories of leadership by its prominent characteristics such as humility, relational power, autonomy, moral development of followers and emulation of leaders’ service orientation.

Spears (2009) extended Greenleaf’s work by articulating 10 characteristics of a servant leader: listening, empathy, healing, awareness, persuasion, conceptualization, foresight, stewardship, commitment to the growth of people, and community building. This work did not connect to or distinguish itself from other conceptualizations of leadership as Graham’s (1991) work, however, it did provide the closest representation of an articulated framework for what characterizes servant leadership.

The influence of servant leadership on organizational commitment also found to be universal, supported by evident from the research conducted in China (Choi & Chen, 2007; Chen et al., 2009), Singapore (Loke, 2001; Avolio et al., 2004), United States, India and China (Walumbwa, Lawler, Avolio, Wang & Shi, 2005), South Africa (Dannhauser & Boshoff, 2006). Thus, it can also be concluded that for Indonesian respondents, servant leadership affect organizational commitment.

Conceptual Framework of the Research Model

Figure 1 showed the conceptual framework of this research.

FIGURE 1 CONCEPTUAL FRAMEWORK OF THE RESEARCH MODEL

Procedural Justice

Work Meaning

Servant Leadership

Allocentrics

Affective Commitment


Hypotheses Reviews on the theoretical basis of this research leads to several hypotheses below: 1. Allocentrics, procedural justice and servant leadership predicted employee affective commitment

mediated by the meaning of work. 2. High level of allocentrics will result in low meaningful of work and low affective commitment. 3. High perception of procedural justice will result in high meaningful of work and high affective

commitment. 4. High perception on servant leadership will result in high meaningful of work and high affective

commitment. METHOD Measurement Organisational Commitment (OC)

In this study, organizational commitment was measured using the Three-Component Model of Commitment Scale (Allen & Meyer, 1996) sub-scale of affective commitment (AC) which measure emotional attachment, identification, and employee involvement to the organization. Eight items of the scale were tested by Allen and Meyer (1996) and produce a Cronbach alpha coefficient .87. Exploratory factor analysis and rotation with maximum likelihood obtained two factors: factor 1 consists of items 5, 6 and 8, and the second factor consists of items 1, 2 and 3. Confirmatory factor analysis result in factor loading .81 for Factor 1 and .64 for Factor 2.

Meaning of Work (WM)

This study will measure work meaning using the adaptation of the Work Meaning Scale established by Ashmos and Duchon (2000). The scale measure respondents' perceptions of the enjoyment of work and the extent to which the work gives meaning and direction in their lives. This scale consists of four items, exploratory factor analysis and rotation with maximum likelihood obtained four factors namely item 1 s / d 4. Confirmatory factor analysis showed that the load factor is .70 for Factor 1, .76 for Factor 2, .72 for Factor 3 and .71 for Factor 4. Allocentrics (AS)

Allocentrics Scale was developed by Triandis et al. (1995) based on characteristics namely self-identity, family integrity, perception of culture, behavior of friends, perception of objective and personal opinion. These characteristics are represented by 26 items. Exploratory factor analysis and rotation with maximum likelihood obtained four factors i.e. item number 9, 10, 13 and 17. Confirmatory factor analysis showed that the load factor is .60 for Factor 1, .76 for Factor 2, .78 for Factor 3 and .65 for factor 4.

Procedural Justice (PJ)

Perceptions of organizational justice will be measured using scale developed by Folger and Konovski (1989). Eight items representing the concepts of procedural justice proposed by Greenberg (1987). Exploratory factor analysis and rotation with maximum likelihood obtained three factors. Confirmatory factor analysis showed that the load factor .54 for Factor 1, .66 for Factor 2, and .84 for Factor 3.

Servant Leadership (SL)

Servant Leadership Scale developed by Barbuto and Wheeler (2006) based on the concept of Servant Leadership proposed by Greenleaf (1970), consists of 11 characteristics i.e. personal calling, listening, empathy, healing, wisdom, persuasion, conceptualization, looking forward, service, growth and community development. Each characteristic was revealed by 5 to 7 items, with overall scale consist of 56 items. Factor analysis result in 5 factors i.e. personal calling, healing, wisdom, persuasion and services, overall total items of 23 (Barbuto & Wheeler, 2006). Reliability test of sub-scale range from 0.73 to 0.97. Standard deviation between the five sub-scales is quite consistent, range from 00:49 to 12:58. Exploratory


factor analysis and rotation with a maximum likelihood result in three factors. Confirmatory factor analysis showed that the loading factor is .90 for Factor 1, .81 for Factor 2, and .78 for Factor 3.

Test of Measurement Model

Figure 2 showed the result of the test on measurements model of this study.

FIGURE 2 TEST OF MESUREMENT MODEL

Subject

Subjects were employees of a state owned hotel in Yogyakarta, Indonesia. 239 employees were involved in this study. Administrative screening result in 231 eligible responses. Mahalanobis test or d2 (Ghozali, 2008) with two stages to clean the data from outliers result in 195 responses. Hair, Anderson, Tatham and Black (1995) cited by Ferdinand (2002) suggest that an appropriate sample size for the estimation and interpretation of the results of structural equation modeling (SEM) is in between range of 100 to 200 respondents. Hair et.al. (1995) also suggested that the minimum sample size is five observations for each estimated parameter.

RESULTS

Tests on theoretical models of predictors of organizational commitment described in Table 1:

TABLE 1 RESEARCH RESULT

_____________________________________________________________________________________ Source Requirement Fitness Test Conclusion

_____________________________________________________________________________________ Chi-square p ≥ .05 .051 Fit RMSEA ≤ .080 . 067 Fit GFI ≥ .900 .917 Fit

_____________________________________________________________________________________


Theoretical Model Test for Predictors of Organizational Commitment Figure 3 showed the theoretical model test for predictors of organizational commitment.

FIGURE 3

THEORETICAL MODEL TEST FOR PREDICTORS OF ORGANIZATIONAL COMMITMENT

The theoretical model is empirically tested, but not all of the hypotheses are proven. The second

hypothesis which said that "high level of allocentrics will result in low meaningful of work and low affective commitment” proven to be the opposite: high level of allocentrics resulted in high meaningful of work and high organizational commitment. The fourth hypothesis which said that "high perception on servant leadership will result in high meaningful of work and high affective commitment” was not supported with the data of this research, servant leadership did not affect the commitment to the organization. Coefficient Determination (R2)

Table 2 described the coefficient of determination of each exogenous and endogenous variables.


TABLE 2 COEFFICIENT DETERMINATION

_____________________________________________________________________________________

Exogenous Variables Endogenous Variables Coefficient Effective Determination Contribution R2 (%)

_____________________________________________________________________________________

Allocentrics Meaning of Work .45 45% Procedural Justice Servant Leadership

_____________________________________________________________________________________

Meaning of Work Organization Commitment .55 55% _____________________________________________________________________________________

Allocentrics and organizational justice simultaneously contributing to the direct effect on the meaning

of work for .45 or 45%. The coefficient of determination of meaning of work to the organization's commitment is .55 or 55%.

Based on further observations of the effects of exogenous variables on endogenous variables, it is known that not all exogenous variables have significant direct effects on variable endogenous: the meaning of work. The results showed, as in Table 3, that there is a significant influence of allocentrics on the meaning of work (β = .411, p <.05), Procedural Justice found to be significantly influence the meaning of work (β = 284, p <.05), Servant leadership have no influence on the meaning of work (p> .05). However meaning of work still has significant influence on organizational commitment (β = .741, p <.05).

TABLE 3

REGRESSION COEFFICIENT OF THE DIRECT EFFECTS OF EXOGENOUS VARIABLES TO ENDOGENOUS VARIABLES

_____________________________________________________________________________________

Exogenous Variables Exogenous Variables Direct Effect p _____________________________________________________________________________________

Allocentrics Meaning of Work .441 . .001** Procedural Justice .284 .49* Servant Leadership .241 .076

_____________________________________________________________________________________

Meaning of Work Organizational Commitment. .741 .001** _____________________________________________________________________________________


Allocentrics proved to be the most influential variable to the meaning of work. The absence of servant leadership influence to the meaning of work in this study is unexpected, as it is argued that if allocentrics have a strong influence, it is expected that respondents will feel comfortable with the concept of servant leadership. On the other hand, the meaning of work turned out to have a decisive influence on organizational commitment, suggests that employees need to feel that his work is very meaningful if the organization is expecting high commitment of its employees.

Indirect effect is the extent to which the role of exogenous variables on endogenous variables is reinforced by the mediator variables shown in Table 4. Moderating variable would be meaningful if it strengthen the relationship between the two variables.

TABLE 4 REGRESSION COEFFICIENTS OF INDIRECT EFFECTS OF

EXOGENOUS VARIBLES TOWARDS ORGANIZATIONAL COMMITMENT _____________________________________________________________________________________

Exogenous Variables Endogenous Variable Coefficient p Determinant (R2)

_____________________________________________________________________________________

Allocentrics Organizational .305 <.05 Commitment

Procedural justice .211 <.05 Servant Leadership .179 <.05 __________________________________________________________________________________ In testing a model using AMOS, there is no significance test for indirect effects. Significance test of

indirect effects is done by knowing the value of standard error by the formula SEab2 = SEa2 * b2 + a2 SEb2 *; t values, the value of indirect effect, divided by the standard error. T values in between -1.96 to 1.96 indicates no significant effect (Baron & Kenny, 1986, in Ferdinand, 2002).

Based on Table 4 it can be concluded that the meaning of work strengthen the relationship between allocentrics and organizational commitment (β = .305 <.05), procedural justice and organizational commitment (β = .211, p> .05), and servant leadership and organizational commitment ( β = .179, p <.05).

DISCUSSION

Based on the fitness test of the model with chi-square of 210,092 (probability of .051), RMSEA value

of .067, and .917 for GFI, it is concluded that the theoretical model is confirmed and empirically tested, although the first hypothesis (high level of allocentrism will result in low meaningful of work and low affective commitment) was proven to be the opposite. and third hypothesis (high perception on servant leadership will result in high meaningful of work and high affective commitment) was not proven.

The opposite results of the research hypotheses no. 1 can be explained by Chow, Harrison, McKinnon and Wu (2001) research in China, which proves that the correspondence between the values employees’ believe and the organization's culture, will result in high organizational commitment.

Observation of the day-to-day working environment at this hotel reflects the collective culture. This is understandable given the history of this hotel which was originally run by the government and later became a state owned company, the hotel culture still attached to the culture of the civil service, the lack of objective performance appraisal system which relate to an objective reward and punishment system in


the human resources management. Similar to human resource management policies and practices of civil servants, in which personnel decisions are not based on accurate data, employees belief that career are determined by the ability to establish good relations with the management and other employees. This belief leads to the assumption of the importance of interpersonal relationships that produced strong values related to how to interact, to keep the peaceful atmosphere and being nice to get the acceptance of others, which in turn form the norm - as proposed by Magnis-Soeseno (1991) - of a Javanese terms called the principle of harmony, which means continuous effort from someone in the community to keep the calm atmosphere during interaction, to always avoid dissent and social unrest (Willner, 1970; Magnis-Soeseno, 1991). Harmony means to keep the look harmonious social relations regardless of how someone feel, which proposed by Geertz (1961) as "performing harmony (harmonious social appearances)". Efforts to maintain harmony is evident in the behavior of the daily work or during the meeting, the majority of employees appearances are always in control in expressing their opinion, try to avoid conflict.

Collective values which is embedded in the hotel’s climate, then taught to new members as the correct way to perceive, think, feel and behave in the workplace. The values that form the norm then used to evaluate the situation and produce attitudes that will affect the attitude and behavior towards other people, objects or situations. These values also influence the choice when recruiting new employees. This result in the relation of high allocentrics individuals and the collective atmosphere of this hotel, the allocentrics feel that the work becomes meaningful and result in the high commitment of these individuals to the hotel.

The effect of procedural justice to the meaning of the work is .248 (p = .049), which means that the higher the respondent's perceptions of organizational justice, the higher the respondents consider their work as meaningful, result to the higher their commitment to the organization. This result showed that the culture at this hotel was not entirely collective, as in collective culture, equality in distributing resources is preferred while individualist prefer equity. Equal distribution is associated with solidarity, harmony, and cohesion, while equity is compatible with productivity, competition, and self-gain (Triandis, 2001). The research result showing that the respondent favor procedural justice supports the Triandis (1994, 1995) statement related to the change in the culture of the collective to the individual. That all culture in the world are moving from collective to individuals.

However, servant leadership failed of being the predictors of organizational commitment (p> .05). Theoretically, servant leadership serve the collective needs of the leader, as it is often said that Indonesia is a paternalistic society, with high dependency on the leader. This trend is a reflection of the feudal society which feels comfortable when led by authoritarian-paternalistic style (Mas'oed, 1989) with a norm which emphasizes the importance of being obedient, loyal and respectful to the principal or supervisor.

With regard to the aspects of servant leadership used in this study, the proposed concept then summarized into eleven aspects of the calling, listening, empathy, healing, wisdom, persuasion, conceptualization, foresight, stewardship, growth and community building. Barbuto and Wheeler (2006) developed a measurement tool based on the eleventh aspect and identified five aspects of the calling, healing, wisdom, persuasion and services. Missing aspects such as listening and empathy are assumed by Barbuto and Wheeler (2006) as not serve the unique representative of servant leadership so it could be deleted. Similarly, aspects of community building is also not a specific aspect of servant leadership, while aspects of the growth removed from the constructs as items of growth are scattered throughout all the existing factors. Foresight and conceptual factors were included to the factor of persuasion, but there is no questionnaire items aimed at uncovering these two aspects. Given the development of measurement tools of servant leadership, it is concluded that the measurement still cannot be considered as accommodating the whole concept, which result in the inability of the concept in predicting the meaning of work and organizational commitment.

CONCLUSION AND RECOMMENDATION

The mixing of cultures will always occur along the earth rotates. Movements and spirit to resist

cultural influences from outside can be said to be a futile effort. On the other hand, efforts to impose a


foreign culture on a nation is sometimes a fruitless effort. However, it is natural when a culture is influenced by other cultures. Furthermore, according to the statement of Hofstede (1991), that when technological developments continue to take place in a society, the change towards an individualist culture cannot be inhibited, then the best thing to do is to sort out the good side if a culture from the bad, then adopts the good.

Based on the writer's observation, the people of Indonesia cannot be generalized in a pure collective society. It is obvious in big cities in Indonesia, there are clashes of values between collective and individualism, which named by the authors as “a group with two legs in different places”. In the working environment in particular, the above phenomenon is very easily observed. Differences of opinions in the meeting, the conflict in setting policies, often colored with different points of view because of the different values that are used to interpret problems. This phenomenon will not occur in a purely individualist societies or purely collective societies.

In terms of organizational management, efforts to implement western culture has long been done. Field observations indicate that some of these implementations bring results, partially failed. For example, the business application of objective performance evaluation systems fail to be implemented when the organization is still hold strong collective values. However, employees working in a organization with collective climate, secretly crave human resource management systems derived from individualist cultures, for example performance management system which emphasize the objective performance evaluation system based on performance, and associate the performance with reward policies that follow a fair procedures.

Based on the results of this study, recommendations proposed by the author are: (1) Propose the socialization of the understanding of culture differences, the strong influence of strong cultures (individualist) to the weak cultures (collective), and climate in environment which embrace both cultures. (2) Maintaining collective values in terms of respect, tolerance and courtesy when dealing with older people and co-workers/subordinates, as well as opportunities to undertake a family gathering at work or outside work. (3) Implementing individualism values primarily related to the organization's payroll system fairness, incentives and bonuses based on objective performance measures and transparent procedures.

Recommendation for further research are: (1) Involving respondents from different form of organizations, especially private organization, considering the competition in the business world is real in private organizations, in order to achieve the success of the national economy. (2) Reorder the servant leadership questionnaire by restoring aspects of foresight and conceptual into the questionnaire. (3) Examining the different leadership concepts such as transformational leadership. (4) Examining the moderator variables that also have strong influence in determining organizational commitment such as job satisfaction and perceptions of organizational support. (5) Adding predictor variables such as organizational communication. REFERENCES

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