DIAGNOSIS: THEORY TO PRACTICE - Steve Zuieback

65
DIAGNOSIS: THEORY TO PRACTICE STEVE ZUIEBACK AND TIM DALMAU

Transcript of DIAGNOSIS: THEORY TO PRACTICE - Steve Zuieback

DIAGNOSIS THEORY TO PRACTICESTEVE ZUIEBACK AND TIM DALMAU

ABOUT THE AUTHORSSteve Zuieback and Tim Dalmau work with

publicly listed and private corporations

government organizations and non-prots

Their client group spans resources and

mining engineering transport and health

care sectors professional service rms

non-prot organizations whole communities

and educational organizations Over the last

30 years they have worked in 41 countries

They provide consulting facilitation

executive coaching services and

leadership development training

programs They are leadership guides and

companions for organizations and their

leaders on their journeys

WHO MIGHT BENEFIT FROM THIS BOOKIn our consulting work in our leadership development training and

other programs we engage with boards executives organizational

development practitioners consultants facilitators managers senior

managers and leaders and whole leadership teams This book is for

these people - individuals who nd themselves in a position of having

to analyze assess diagnose and design interventions to move their

systems teams and communities from one way of operating to

improved levels of results

INTRODUCTIONWHAT WE ARE OFFERING YOU THROUGH THIS BOOKIn our consulting interventions programs and training events we often

share various models and strategies for diagnosing organizational

dynamics and for designing powerful approaches to achieve improved

results Whereas some enjoy the complexities and a multitude of

options most of our clients - the audience for this book - are looking

for a practical and straightforward approach That is what we hope we

have accomplished here

FORWARD DIAGNOSIS THEORY TO PRACTICE

i

FORWARD

THE STRUCTURE OF THIS BOOKWe assume if you have purchased this book then there are three sim-

ple questions you want answered

What What is involved in the diagnosis process

Where What type of problem terrain do I nd myself in

How How do I go about doing what is required

These three questions more or less describe the structure of this

book and are equivalent to

Chapter 1 What are the main steps of the diagnostic process

Chapter 2 What type of problem am I trying to understand

Chapter 3 What things can I or should I look at

Chapter 4 What processes should I use and how

The body of the text in each chapter provides information about the

conceptual maps and models that underlie our consulting approach

but the essence of the suggestions we have for what processes and

tools to use and how to use them are to be found in Chapter 4

Undertaking the Process of Diagnosis

In addition we use inserts sidebars and links to provide extra

contextual information or specic processes and process tips These

are embedded into the text as italicized grey boxes They also include

other ways of reviewing the material such as videos and extended

articles Video links are embedded directly into the content ow

Choices of processes and specic actions are the subject of the next

e-book in the series

Steversquos Mailing List

Timrsquos Mailing List

ii

FORWARD

This chapter is designed to provide a high level overview of the

diagnosis process There are many ldquomapsrdquo that have been used to

conceptualize the diagnosis process It was Alfred Korzybski who

rst said ldquothe map is not the territoryrdquo meaning that maps are

approximations that attempt to describe reality but they are not

reality themselves And so it is with this book we hope to give you

a map that you can use to guide yourself through the territory of

undertaking a diagnosis

The Oxford English Dictionary denes diagnosis as ldquothe

identication of the nature of an illness or other problem by

examination of the symptomsrdquo In the world of organizational

change it may not be an illness as such but rather a sub-optimal

state of some kind or even a current state that is quite functional

in some ways but not yet at the level that its leaders desire In

either case a diagnosis identies the nature of the state in which

the system nds itself and it does this by gathering together

information interpreting and then evaluating it

THE DIAGNOSIS PROCESS

3

CHAPTER 1 THE DIAGNOSIS PROCESS

From the most straightforward of viewpoints we see

diagnosis as the result of three phases

bullInformation gathering

bullMaking interpretations and judgments

bullInferring underlying cause

These are three interconnected processes not

separate tasks and there is much overlap among

them At its simplest the process of information

gathering leads one to interpret and in the process

synthesize and evaluate ie produce a diagnosis In

all instances some type of information gathering will

be involved This may be about the various parts or

subcomponents of a system as is depicted in the

diagram below or it may be about the entire system

as a whole (See Chapter 2 Types of Problems to Diagnose)

4

CHAPTER 1 THE DIAGNOSIS PROCESS

INFORMATION GATHERING

To be effective a good diagnosis process should account for the cur-

rent state of affairs predict what is likely to happen if nothing

changes be helpful in generating or critiquing a set of outcomes

and point us in the direction of actions that might deliver the de-

sired outcomes

The information gathering and interpretationjudgment can be about

the parts of a system and how they are interacting with one another

(something we will label analysis) or they can be about the entire

system as one entity (we will call this whole-of-system)

FROM THE SIMPLE TO THE COMPLEX

You will see throughout this book that we continually address the

question ldquoWhich and how many of these steps are needed to

complete the diagnosis journeyrdquo Our answer will always be ldquoit

dependsrdquo - it depends upon the focus and scope of the work at

hand One way of thinking about how involved the information

gathering and interpretationjudgment work might need to be is to

evaluate the issue along the following continua

The more an issue ts along the left side of these continua the more likely the practitioner can

5

FIGURE 11 Domains of Inquiry

CHAPTER 1 THE DIAGNOSIS PROCESS

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

ABOUT THE AUTHORSSteve Zuieback and Tim Dalmau work with

publicly listed and private corporations

government organizations and non-prots

Their client group spans resources and

mining engineering transport and health

care sectors professional service rms

non-prot organizations whole communities

and educational organizations Over the last

30 years they have worked in 41 countries

They provide consulting facilitation

executive coaching services and

leadership development training

programs They are leadership guides and

companions for organizations and their

leaders on their journeys

WHO MIGHT BENEFIT FROM THIS BOOKIn our consulting work in our leadership development training and

other programs we engage with boards executives organizational

development practitioners consultants facilitators managers senior

managers and leaders and whole leadership teams This book is for

these people - individuals who nd themselves in a position of having

to analyze assess diagnose and design interventions to move their

systems teams and communities from one way of operating to

improved levels of results

INTRODUCTIONWHAT WE ARE OFFERING YOU THROUGH THIS BOOKIn our consulting interventions programs and training events we often

share various models and strategies for diagnosing organizational

dynamics and for designing powerful approaches to achieve improved

results Whereas some enjoy the complexities and a multitude of

options most of our clients - the audience for this book - are looking

for a practical and straightforward approach That is what we hope we

have accomplished here

FORWARD DIAGNOSIS THEORY TO PRACTICE

i

FORWARD

THE STRUCTURE OF THIS BOOKWe assume if you have purchased this book then there are three sim-

ple questions you want answered

What What is involved in the diagnosis process

Where What type of problem terrain do I nd myself in

How How do I go about doing what is required

These three questions more or less describe the structure of this

book and are equivalent to

Chapter 1 What are the main steps of the diagnostic process

Chapter 2 What type of problem am I trying to understand

Chapter 3 What things can I or should I look at

Chapter 4 What processes should I use and how

The body of the text in each chapter provides information about the

conceptual maps and models that underlie our consulting approach

but the essence of the suggestions we have for what processes and

tools to use and how to use them are to be found in Chapter 4

Undertaking the Process of Diagnosis

In addition we use inserts sidebars and links to provide extra

contextual information or specic processes and process tips These

are embedded into the text as italicized grey boxes They also include

other ways of reviewing the material such as videos and extended

articles Video links are embedded directly into the content ow

Choices of processes and specic actions are the subject of the next

e-book in the series

Steversquos Mailing List

Timrsquos Mailing List

ii

FORWARD

This chapter is designed to provide a high level overview of the

diagnosis process There are many ldquomapsrdquo that have been used to

conceptualize the diagnosis process It was Alfred Korzybski who

rst said ldquothe map is not the territoryrdquo meaning that maps are

approximations that attempt to describe reality but they are not

reality themselves And so it is with this book we hope to give you

a map that you can use to guide yourself through the territory of

undertaking a diagnosis

The Oxford English Dictionary denes diagnosis as ldquothe

identication of the nature of an illness or other problem by

examination of the symptomsrdquo In the world of organizational

change it may not be an illness as such but rather a sub-optimal

state of some kind or even a current state that is quite functional

in some ways but not yet at the level that its leaders desire In

either case a diagnosis identies the nature of the state in which

the system nds itself and it does this by gathering together

information interpreting and then evaluating it

THE DIAGNOSIS PROCESS

3

CHAPTER 1 THE DIAGNOSIS PROCESS

From the most straightforward of viewpoints we see

diagnosis as the result of three phases

bullInformation gathering

bullMaking interpretations and judgments

bullInferring underlying cause

These are three interconnected processes not

separate tasks and there is much overlap among

them At its simplest the process of information

gathering leads one to interpret and in the process

synthesize and evaluate ie produce a diagnosis In

all instances some type of information gathering will

be involved This may be about the various parts or

subcomponents of a system as is depicted in the

diagram below or it may be about the entire system

as a whole (See Chapter 2 Types of Problems to Diagnose)

4

CHAPTER 1 THE DIAGNOSIS PROCESS

INFORMATION GATHERING

To be effective a good diagnosis process should account for the cur-

rent state of affairs predict what is likely to happen if nothing

changes be helpful in generating or critiquing a set of outcomes

and point us in the direction of actions that might deliver the de-

sired outcomes

The information gathering and interpretationjudgment can be about

the parts of a system and how they are interacting with one another

(something we will label analysis) or they can be about the entire

system as one entity (we will call this whole-of-system)

FROM THE SIMPLE TO THE COMPLEX

You will see throughout this book that we continually address the

question ldquoWhich and how many of these steps are needed to

complete the diagnosis journeyrdquo Our answer will always be ldquoit

dependsrdquo - it depends upon the focus and scope of the work at

hand One way of thinking about how involved the information

gathering and interpretationjudgment work might need to be is to

evaluate the issue along the following continua

The more an issue ts along the left side of these continua the more likely the practitioner can

5

FIGURE 11 Domains of Inquiry

CHAPTER 1 THE DIAGNOSIS PROCESS

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

THE STRUCTURE OF THIS BOOKWe assume if you have purchased this book then there are three sim-

ple questions you want answered

What What is involved in the diagnosis process

Where What type of problem terrain do I nd myself in

How How do I go about doing what is required

These three questions more or less describe the structure of this

book and are equivalent to

Chapter 1 What are the main steps of the diagnostic process

Chapter 2 What type of problem am I trying to understand

Chapter 3 What things can I or should I look at

Chapter 4 What processes should I use and how

The body of the text in each chapter provides information about the

conceptual maps and models that underlie our consulting approach

but the essence of the suggestions we have for what processes and

tools to use and how to use them are to be found in Chapter 4

Undertaking the Process of Diagnosis

In addition we use inserts sidebars and links to provide extra

contextual information or specic processes and process tips These

are embedded into the text as italicized grey boxes They also include

other ways of reviewing the material such as videos and extended

articles Video links are embedded directly into the content ow

Choices of processes and specic actions are the subject of the next

e-book in the series

Steversquos Mailing List

Timrsquos Mailing List

ii

FORWARD

This chapter is designed to provide a high level overview of the

diagnosis process There are many ldquomapsrdquo that have been used to

conceptualize the diagnosis process It was Alfred Korzybski who

rst said ldquothe map is not the territoryrdquo meaning that maps are

approximations that attempt to describe reality but they are not

reality themselves And so it is with this book we hope to give you

a map that you can use to guide yourself through the territory of

undertaking a diagnosis

The Oxford English Dictionary denes diagnosis as ldquothe

identication of the nature of an illness or other problem by

examination of the symptomsrdquo In the world of organizational

change it may not be an illness as such but rather a sub-optimal

state of some kind or even a current state that is quite functional

in some ways but not yet at the level that its leaders desire In

either case a diagnosis identies the nature of the state in which

the system nds itself and it does this by gathering together

information interpreting and then evaluating it

THE DIAGNOSIS PROCESS

3

CHAPTER 1 THE DIAGNOSIS PROCESS

From the most straightforward of viewpoints we see

diagnosis as the result of three phases

bullInformation gathering

bullMaking interpretations and judgments

bullInferring underlying cause

These are three interconnected processes not

separate tasks and there is much overlap among

them At its simplest the process of information

gathering leads one to interpret and in the process

synthesize and evaluate ie produce a diagnosis In

all instances some type of information gathering will

be involved This may be about the various parts or

subcomponents of a system as is depicted in the

diagram below or it may be about the entire system

as a whole (See Chapter 2 Types of Problems to Diagnose)

4

CHAPTER 1 THE DIAGNOSIS PROCESS

INFORMATION GATHERING

To be effective a good diagnosis process should account for the cur-

rent state of affairs predict what is likely to happen if nothing

changes be helpful in generating or critiquing a set of outcomes

and point us in the direction of actions that might deliver the de-

sired outcomes

The information gathering and interpretationjudgment can be about

the parts of a system and how they are interacting with one another

(something we will label analysis) or they can be about the entire

system as one entity (we will call this whole-of-system)

FROM THE SIMPLE TO THE COMPLEX

You will see throughout this book that we continually address the

question ldquoWhich and how many of these steps are needed to

complete the diagnosis journeyrdquo Our answer will always be ldquoit

dependsrdquo - it depends upon the focus and scope of the work at

hand One way of thinking about how involved the information

gathering and interpretationjudgment work might need to be is to

evaluate the issue along the following continua

The more an issue ts along the left side of these continua the more likely the practitioner can

5

FIGURE 11 Domains of Inquiry

CHAPTER 1 THE DIAGNOSIS PROCESS

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

This chapter is designed to provide a high level overview of the

diagnosis process There are many ldquomapsrdquo that have been used to

conceptualize the diagnosis process It was Alfred Korzybski who

rst said ldquothe map is not the territoryrdquo meaning that maps are

approximations that attempt to describe reality but they are not

reality themselves And so it is with this book we hope to give you

a map that you can use to guide yourself through the territory of

undertaking a diagnosis

The Oxford English Dictionary denes diagnosis as ldquothe

identication of the nature of an illness or other problem by

examination of the symptomsrdquo In the world of organizational

change it may not be an illness as such but rather a sub-optimal

state of some kind or even a current state that is quite functional

in some ways but not yet at the level that its leaders desire In

either case a diagnosis identies the nature of the state in which

the system nds itself and it does this by gathering together

information interpreting and then evaluating it

THE DIAGNOSIS PROCESS

3

CHAPTER 1 THE DIAGNOSIS PROCESS

From the most straightforward of viewpoints we see

diagnosis as the result of three phases

bullInformation gathering

bullMaking interpretations and judgments

bullInferring underlying cause

These are three interconnected processes not

separate tasks and there is much overlap among

them At its simplest the process of information

gathering leads one to interpret and in the process

synthesize and evaluate ie produce a diagnosis In

all instances some type of information gathering will

be involved This may be about the various parts or

subcomponents of a system as is depicted in the

diagram below or it may be about the entire system

as a whole (See Chapter 2 Types of Problems to Diagnose)

4

CHAPTER 1 THE DIAGNOSIS PROCESS

INFORMATION GATHERING

To be effective a good diagnosis process should account for the cur-

rent state of affairs predict what is likely to happen if nothing

changes be helpful in generating or critiquing a set of outcomes

and point us in the direction of actions that might deliver the de-

sired outcomes

The information gathering and interpretationjudgment can be about

the parts of a system and how they are interacting with one another

(something we will label analysis) or they can be about the entire

system as one entity (we will call this whole-of-system)

FROM THE SIMPLE TO THE COMPLEX

You will see throughout this book that we continually address the

question ldquoWhich and how many of these steps are needed to

complete the diagnosis journeyrdquo Our answer will always be ldquoit

dependsrdquo - it depends upon the focus and scope of the work at

hand One way of thinking about how involved the information

gathering and interpretationjudgment work might need to be is to

evaluate the issue along the following continua

The more an issue ts along the left side of these continua the more likely the practitioner can

5

FIGURE 11 Domains of Inquiry

CHAPTER 1 THE DIAGNOSIS PROCESS

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

From the most straightforward of viewpoints we see

diagnosis as the result of three phases

bullInformation gathering

bullMaking interpretations and judgments

bullInferring underlying cause

These are three interconnected processes not

separate tasks and there is much overlap among

them At its simplest the process of information

gathering leads one to interpret and in the process

synthesize and evaluate ie produce a diagnosis In

all instances some type of information gathering will

be involved This may be about the various parts or

subcomponents of a system as is depicted in the

diagram below or it may be about the entire system

as a whole (See Chapter 2 Types of Problems to Diagnose)

4

CHAPTER 1 THE DIAGNOSIS PROCESS

INFORMATION GATHERING

To be effective a good diagnosis process should account for the cur-

rent state of affairs predict what is likely to happen if nothing

changes be helpful in generating or critiquing a set of outcomes

and point us in the direction of actions that might deliver the de-

sired outcomes

The information gathering and interpretationjudgment can be about

the parts of a system and how they are interacting with one another

(something we will label analysis) or they can be about the entire

system as one entity (we will call this whole-of-system)

FROM THE SIMPLE TO THE COMPLEX

You will see throughout this book that we continually address the

question ldquoWhich and how many of these steps are needed to

complete the diagnosis journeyrdquo Our answer will always be ldquoit

dependsrdquo - it depends upon the focus and scope of the work at

hand One way of thinking about how involved the information

gathering and interpretationjudgment work might need to be is to

evaluate the issue along the following continua

The more an issue ts along the left side of these continua the more likely the practitioner can

5

FIGURE 11 Domains of Inquiry

CHAPTER 1 THE DIAGNOSIS PROCESS

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

INFORMATION GATHERING

To be effective a good diagnosis process should account for the cur-

rent state of affairs predict what is likely to happen if nothing

changes be helpful in generating or critiquing a set of outcomes

and point us in the direction of actions that might deliver the de-

sired outcomes

The information gathering and interpretationjudgment can be about

the parts of a system and how they are interacting with one another

(something we will label analysis) or they can be about the entire

system as one entity (we will call this whole-of-system)

FROM THE SIMPLE TO THE COMPLEX

You will see throughout this book that we continually address the

question ldquoWhich and how many of these steps are needed to

complete the diagnosis journeyrdquo Our answer will always be ldquoit

dependsrdquo - it depends upon the focus and scope of the work at

hand One way of thinking about how involved the information

gathering and interpretationjudgment work might need to be is to

evaluate the issue along the following continua

The more an issue ts along the left side of these continua the more likely the practitioner can

5

FIGURE 11 Domains of Inquiry

CHAPTER 1 THE DIAGNOSIS PROCESS

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

6

Oxford English Dictionary

noun analysis (plural anal ses-siːz)1 [mass noun] detailed examination of the elements or structure of something

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

bullGo for a simple information gathering step that leads directly to the underlying causes thus completing the diagnosis process or

bullConvene an interpretive conversation among key stakeholders that leads to the underlying causes thus completing the diagnosis process

If the issue ts ldquoin the middlerdquo but is tending to the right side of these continua then it is far more likely that the practitioner needs to

bullGo through most or all the areas of localized information gathering and interpretationjudgment and then

bullConvene an interpretation conversation that leads to the judgment phase thus completing the diagnosis process

If the issue ts close to the right side of these continua then it is far more likely that the practitioner needs to

undertake a complex inquiry which often involves looking at the whole system These are situations in which

you need to look at and eventually address the interconnections and interdependencies fractals and deep pat-

terns that are only visible by looking at the system as a whole (Complex Inquiry ndash see Chapter 4 Undertaking

the Process of Diagnosis)

In our framework the diagnosis is a statement about the underlying causes that drive all the external struc-

tures processes and practices in a team organization or system These in turn modify or indicate outcomes

and point to further action

7

CHAPTER 1 THE DIAGNOSIS PROCESS

At the outset we wish to draw a distinction between four differ-ent types of interaction that can occur among groups of people

Debate An interaction based on opposing views whose roots lie in the meaning ldquoto beat downrdquo

Discussion An interaction based on putting ideas forward and whose roots lie in the word discus - meaning to hurl

Conversation A walking through conceptual territory together and whose roots lie in the word com - meaning ldquoto walk to-gether or to turn togetherrdquo

Dialogue An interaction based on careful listening building on each othersrsquo ideas and whose roots lie in the word logos Greek for meaning

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Many people and organizations stop at analysis and think they have done a diagnosis More often they have gathered data codied it into

some taxonomy and identied effects that are being generated by the current system (Information Gathering)

Some organizations take the additional step to collectively assess all the data in order to create shared understandings and agreements about

what is happening in their organizations (Interpretation and Judgment)

However few take the last step to go deeper through collective dialogues and identify the fundamental causes that sustain the current system

This gets at the underlying context dynamics mental models values beliefs and perspectives that drive the system (Underlying Causes)

8

CHAPTER 1 THE DIAGNOSIS PROCESS

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Returning to the distinctions we made previously we have sug-

gested that any diagnosis process involves three phases or step-

ping stones But the scope of attention can vary from the simple

to the complicated right through to a complex inquiry This is be-

cause problems range from simple through the complicated to the

complex

As Rosemary Haughton said all social models are very blurred

when they come to describing reality And so it is with this

framework each of us is often asked to help with what seems to

be a straightforward inquiry but quickly discover that things are

more complicated than we had anticipated and we end up looking

at the whole system issue when we get to underlying cause Yet

again there have been occasions where it was clear from the

outset that nothing short of a complex inquiry was needed

Back to Chapter 1

TYPES OF PROBLEMS TO DIAGNOSE

9

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

On other occasions a straightforward analysis really only

needs the information gathering that will lead straight to

the underlying cause This often happens as a result of

the accumulated experience and theory of practice of

the leader or consultant that results in a very high prob-

ability of what the underlying cause may be

10

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

The real world is made up of many and various pathways and these are depicted in the following diagram

11

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 21 Possible Pathways of the Diagnosis Process

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

The process of diagnosis may be as easy as taking the client through a set of sequential questions that address some or all the subsystems

(see the Key Inquiry Questions at the end of Chapter 3 Domains of Inquiry) For example a leadership team involved in managing a large

project and wishing to streamline their management and communication systems may well require only localized information gathering and

interpretation ie straightforward analysis (see Chapter 4 Undertaking the Diagnosis

Process)

In this instance the issue is relatively straightforward small in size linear and clear in

scope and purpose ndash in other words it falls closer to the left side of the continua

12

A simple system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In another scenario such as redesigning the delivery system for adult primary care medicine in a regional hospital corporation the issue is far

more complicated The issue is very large complicated and complex in scope due to all the intersecting needs deals with multiple systems or

a wider open system has unconscious cultural components and would signicantly impact the organizational climate This can be depicted

through the following continua

13

A complex system

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Localized inquiry may still well be appropriate but it is hard to

imagine this being adequate It is more likely that the

information gathered will need to be at three different levels

bullIndividual parts

bullRelationship between parts

bullThe whole system

In this example analysis of the parts and their interconnections

will be needed and this will most likely be a pre-step for

conducting a whole-of-system inquiry (See Chapter 4)

These two examples illustrate just two of the many paths that

the diagnosis process can follow and are depicted in the

following diagram as Lines 1 and 2

In reading through the book please continue to gauge your

issues against the above continua

We urge the reader to remember that best practice will always

be a combination of both science and art and so whilst this

book will outline some of the science behind good diagnosis

(both localized and whole-of-system) it needs to be

acknowledged that success often comes when the reader also

relies on and trusts their intuition experience and the wisdom

of a group

14

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 22 Straightforward and Complex Diagnosis

MOVIE 21 A Diagnosis Story

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

THE WORLD OF MEDICINEA very good analogy for the diagnosis process comes from medicine A patient visits their physician with symptoms The physician interviews

the patient to understand the symptoms more thoroughly orders specic tests or diagnostic scans (information gathering) and then utilizes

their ldquotheory of practicerdquo to interpret and make judgments about the cause of the patientrsquos symptoms and then through realizing the underlying

causes generates a diagnosis

In the case of most physicians the theory of practice is a set of mental rules that have been developed through research and practice over

many years combined with the wisdom that comes from experience These ldquoalgorithmsrdquo guide their interpretation of and judgments about the

information they have uncovered as to underlying cause

Even going through all these steps the physician may not get the right diagnosis and treatment plan the rst time around Sometimes it takes

several rounds of trying certain treatments and doing more tests before the right one is eventually found

15

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

MOVIE 21 Theory of Practice

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

As in our medical example taking all the diagnostic steps doesnrsquot assure an accurate underlying cause Like the human body human

organizational systems are way too complex to be thought about in a simple cause and effect manner Many times we need to take our best

shot and see how the system responds And hellip sometimes you need to look at the system as a whole

16

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Furthermore as in our medical example even though a health practitioner may have delivered a ldquocorrect diagnosisrdquo the future health of the

patient is not assured without the actual patient taking responsibility for their own health Specically the real underlying causes of a condition

or disease such as cardiovascular disease may be about lifestyle practices such as diet exercise and stress management Even deeper they

may be more about the personrsquos underlying values and beliefs such as

bullEveryone in my family died of heart disease before they were 65 ndash I am going to die young as well

bullI might as well eat drink and be merry because I am fated to have heart problems

bullI believe that diet and exercise donrsquot matter because of my genetic history

One of the limitations in this medical analogy is that in the traditional medical model of diagnosis the practitioner stands apart from the

patient and interrogates the information From our perspective the diagnosis process is best undertaken as a joint dialogue between the

practitioner and the client In an organizational context diagnosis is often undertaken either through information gathering by questionnaire or

interview but then dialogue with the client leads to a much richer interpretation and judgment as to the nature of the problem and hence to a

mutual understanding of the underlying causes Then as further work unfolds the underlying causes come into sharper relief

Most often these underlying causes are statements of dynamics factors core beliefs and values that are actually in operation (theories-in-use

not espoused theories)

17

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In an organizational context frequent underlying beliefs and mental models might include

bullIn our organization it is not possible to reach all students We are doing the very best we can with the resources we have

bullIf we approach each problem in a highly organized and analytic way we will nd the root cause and be able to design a change that will work

bullWe are only as good as our top leaders If they donrsquot walk the talk nothing can change

bullWe have a wonderful leader who can do no wrong All we need to do in order to secure our future is follow their way

bullWe believe that our primary purpose is to assure compliance with government regulations

bullWe can never be as good as our competitors because of our limited resources and expertise

bullWe simply dont have the right systems in place If we invest in good systems and processes people will use them and the problem will go away

bullThere is absolutely no changing this situation We are condemned to work like this in this hopeless environment until we leave or retire

bullIf the leader would simply command those people to do what is required then all would be OK

18

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

These perspectives mindsets or mental models inform and shape the unwitting design and operation of the organization ndash often to a large

extent they are ultimately responsible for the structures procedures programs practices and behaviors in the organization

These causes frequently go unquestioned or unexamined and are often in contradiction to the espoused beliefs and values These ldquocausesrdquo

can be extremely positive or very negative in terms of the desired outcomes of the organization or for a major change initiative

19

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In these next few pages we will lay out one model or map of how to conceptualize the various systems you might need to consider in gathering

information in order to perform an analysis

At the outset it is important to understand that what you

are trying to do is collect data from a variety of sources

and perspectives in order to generate an accurate

diagnosis - that is clarifying underlying causes Also

remember that you will always do some information

gathering no matter the process pathway

bullStraightforward Inquiry

bullComplicated Inquiry

bullComplex Inquiry

In our framework the diagnosis is a statement about the

underlying causes that drive all the external structures

processes and practices in a team organization or sys-

tem These in turn modify or indicate outcomes and point

to further action

Chapter 3 of this eBook explores information gathering and straightforward analysis that leads to diagnosis It is based on the idea that all

systems are composed of subsystems and there are some subsystems that experience suggests are most likely to be worthy of examination

20

CHAPTER 2 TYPES OF PROBLEMS TO DIAGNOSE

FIGURE 23 Pathways of the Diagnosis Process

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Back to Chapter 4

DOMAINS OF INQUIRY

21

CHAPTER 3 DOMAINS OF INQUIRY

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

SECTION 1 INFORMATION GATHERING

The rst step in the diagnosis process is information gathering and

this can be of the system under examination as a whole or some of

its elements

All systems are composed of subsystems and there are subsystems

that experience suggests are most likely to be worthy of examination

when it comes to organizational diagnosis

The diagram illustrates six subsystems as different lenses through

which a leader or consultant can gain understanding about how an

organization currently operates Each can be evaluated by itself and in

context with the other interdependent systems so a comprehensive

view of underlying causes (diagnosis) can be made

A review of the literature suggests a variety of approaches and lenses

can be used for analysis The selection of these six subsystems is

based simply on our experience about what works in actual practice

and what we nd to be useful There is nothing sacred about our la-

bels but we believe these foci will on most occasions deliver a com-

prehensive analytical picture

We are now going to provide a description of each area of analysis

that includes our perspectives frameworks and some simple strategy

suggestions on how to conduct these analyses More detailed

explorations of models and strategies are referenced in embedded

links and sidebar comments

Back to Chapter 4

22

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

SUBSYSTEM 1 RESULTS AND PERFORMANCE

Results and Performance

information is the most common

eld of information gathering This

involves a close look at all the

results being generated by the

system This analysis focuses one

not on opinions or interpretations

but on the ldquofactsrdquo

You can think and state your opinion all you want but the system is producing these results

Typically an organization has a set of goals and objectives along with

methods of evaluating itself against these goals There are often

many key indicators to measure and monitor effectiveness including

quality productivity cost safety prot etc

For a mining company these might focus on volume of tons per day

produced the total recordable injury frequency rate cost per ton

mined or the protability per ton For an accounting rm they might

include such measures as protability per partner utilization rate WIP

(work in progress) and protability per service line For a health

system they might be Quality Indicators (QI) hospital acquired

infection rates inpatient length of stay etc

For educational systems a host of indicators are typically used includ-

ing Academic Performance Index (API) Adequate Yearly Progress

(AYP) In 2015 most educational systems in the United States will be

evaluated against the Common Core Standards

This type of information gathering will tell you what is happening on

an objective basis but it does not tell you why or how the system is

getting these results However having the information is essential to

informing the dialogues that will occur in the interpretation and judg-

ment phase of the diagnosis process

You would always want to conduct some form of a results information

gathering as part of determining the current state of the issue This

might be as simple as looking at the performance of a team against

their key indicators or objectives or as extensive looking at all the

goals objectives and performance indicators across an entire

organization or business

The key question that should guide your work in this area of inquiry

is

What data exist that are connected to the stated purpose organiza-tional outcomes goals and key indicators of success

What is this data telling us about how well we perform and what actual results we deliver

23

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

SUBSYSTEM 2 CLIMATE AND CULTURE

This particular section was originally entitled culture analysis but in the end we chose to call it Climate and Culture due to the many

misunderstandings that abound about the word organizational culture This section explores the differences between culture and climate and

gives the reader some guidance about how to evaluate and understand each in an organization The distinctions are described below

Organizational Culture

Culture is made up of many different layers and some of them are unconscious and unknown to the people in the organization Because they

are unconscious and unknown they cannot be analyzed but their effects can be experienced and thus we can surface indirectly some

components of culture

24

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERINGRead more about Argyris and Schon

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

It is possible to shape in broad terms or to inuence organizational

culture But it is not possible to analyze create or engineer a

particular culture which is one of the most common mistakes made

by many people in organizations today Moreover people often

attempt to change the culture in order to create organizational

improvements This fallacy is based on the misunderstanding that

culture is the cause when it is actually the result of other things

Appreciating a culture is a complex and intuitive process and not

easily subjected to survey analysis though if surveys are properly

constructed they can actually play an important part in the overall

development of a picture of some aspects of a culture

One aspect of culture is values In gathering information about the

cultural dynamics of a system it is always important to look at the

difference between the ldquoespoused valuesrdquo and the ldquovalues-in-use

The disparity between these two is often huge and the source of

great frustration and anxiety in an organization

This is true of individuals and organizations companies almost always

have a written set of value and belief statements (espoused values)

Some have a series of written operational principles ndash statements of how

the organization does business Any attempt to build an appreciation of

an organizationrsquos culture will be enhanced if you look at both the printed

statements and the actual practice in the organization (values-in-use)

Strategies for Appreciating Organizational Culture

Building a comprehensive picture and appreciation of an organizationrsquos

culture is a complex and time-consuming task It necessarily involves

25

CHAPTER 3 DOMAINS OF INQUIRY

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

formal information gathering but also must use interview techniques and other techniques that have their roots

in anthropological inquiry Neville and Dalmau in their book Olympus Inc canvas the underlying foundations of

cultural inquiry for organizations and community groups Dalmau and Dick in their book To Tame a Unicorn provide further techniques and Dalmau and Dick in their book Values in Action provide a range of usable

processes and techniques for surfacing the differences in an organizationrsquos culture and the values level

between what is espoused and what is practiced

Organizational Climate

Organizational climate is that part of organizational culture that is conscious and as such can be measured

analyzed and assessed Climate analysis is often pivotal in surfacing causes for current strengths and limita-

tions in the organization or system

Surveys when used to set the stage for later assessment and interpretive conversations can be extremely valu-

able There are a host of instruments surveys and questionnaires for conducting climate analyses

26

To learn more about the dif-ferences between espoused and practiced values see httpwwwaralcomaupublbookshtml

One we find particularly use-ful is the OPI the Organiza-tion Perception Indicator originally developed by the late John Sherwood and his colleagues This survey in-strument gives an extraordi-narily helpful analysis pic-ture of how members of an organization perceive their company school or firm on nine different dimensions

bullEffective ActionbullGoalsbullConsonancebullLeadershipbullDelegationbullProponencebullDoubtbullRolesbullEnergy

For further information about getting access to the instrument contact Tim Dal-mau directly at infodalmaucom

CHAPTER 3 DOMAINS OF INQUIRY

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

A great tool for conducting a simple climate analysis is the Organizational Lifecycle Inventory developed by Bob Dick and Tim Dalmau This

inventory allows people to assess their perceptions of the

1 t of the organization to their individual needs and values

2 effectiveness of the organization

3 operational efciency and effectiveness

4 match of organizational values and identity to personal values

The Organizational Lifecycle Inventory seeks to identify the depth at

which issues are located There are three levels practices and

procedures purpose and direction and identity and unity At each of

these levels there may be either doubt that has crept into the

system or alternatively some aspects of growth and development

that need further renement

At the most supercial level the doubt if it is there will be

expressed as concern over operational issues but the opportunity

is for renement and improvement of operational efciencies and

outcomes At the next level if there is doubt it will nd expression

in concerns over purposes goals and objectives perhaps even

strategic intent The opportunity for issues at this level is to re-

articulate and consolidate shared understanding of fundamental

purposes and key goals

At the third level the doubt if present will be expressed in a sense of no longer belonging (in a felt sense) to the organization or

group the loss of a sense of cohesion or shared identity

27

CHAPTER 3 DOMAINS OF INQUIRY

MOVIE 31 The Organizational Lifecycle

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

There will be the perception of fragmentation loss of potential

and disintegration of the system The opportunity for issues at

this level of identity and unity is to honor the best of the past

and to re-invent a strong sense of shared myth or identity about

the organization and its dreams for the future

28

There are three levels practices and procedures pur-pose and direction and identity and unity At each of these levels there may be either doubt that has crept into the system or alternatively some aspects of growth and development that need further refinement

DIAGRAM 31 Organizational Lifecycle

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 31 Organizational Lifecycle Exercise

To learn more about this powerful model please click on Cycles and Levels of Organizational Life

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

You can use this tool in a group or team setting as an effective way of getting issues out on the table

Steps in Utilizing the Organizational Lifecycle Model to Perform a Climate Analysis

Step 1 Gather the key stakeholders together for the analysis

Step 2 Utilize the video on Organizational Lifecycle Model or do a short presentation on the model for the group gathered together to do this analysis (see video on prior page)

Step 3 Each person goes through the Organizational Lifecycle Questionnaire (click here to download the questionnaire)

Step 4 Post a picture of the model on a larger ip chart page One picture for each team involved in the analysis

Step 5 Each member of each team posts a check mark or asterisk on the level that comes closest to their scoring on the questionnaire This is done as anonymously as possible

Step 6 Each team convenes a short dialogue to identify 4-6 descriptive statements about the ndings when looking at their poster

Step 7 Conduct a gallery walk in which all of the participants can view the posters from each of the small teams

Step 8 Work with the entire group to distill the key themes across all the small teams

Using the Organizational Lifecycle Inventory is a good start in understanding how people perceive their organization or team

29

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

SUBSYSTEM 3 LEADERSHIP

The nature quality depth and breadth of leadership in an organiza-

tion has always been recognized as a major factor leading to short

and long term organizational success

There has been a signicant shift in leadership thinking and prac-

tice over the course of our careers In fact we only have to go back

to the early 1960s to reach a period when leadership was not even

an issue to those studying organizational and human behavior

In the 1970rsquos command and control models (or more technically

directive models) predominated the description of what made for

good leaders This trend progressed into more transactional models based on the notion of a trade

between the leader and the led if I provide you with direction wisdom and intelligence (and nancial

security) then you will provide me your leader with commitment effort and energy In the late 1980rsquos and

early 90rsquos the transformational paradigm took hold largely a construct of leadership schools in the north

east of the United States It is based on the image of individualism that so dominates the North American

psyche This paradigm suggests it is the role of the leader to transform the organization and its people into

a better state of being or performance Not only does this view suggest transformation is the responsibility

of the leader it also suggests it is possible for it to occur

Many recent studies show other (often external) factors play as much or even more of a part in

transformation In the last twenty years European and west coast US thought has found a foothold in

leadership thinking and we now know that in todayrsquos discontinuous and fast changing world emergent

leadership is the only viable mode

When gathering information about leadership it is helpful to consider the work of Booz amp Co who

conducted joint research with the World Economic Forum Although an older model it is still highly relevant

This work consisted of over 6000 interviews to research the nature of organizational success and

leadership In relation to our focus on gathering information about leadership as part of a diagnosis

process it is insightful to consider a few of their ndings

Back to page 42

30

Emergent Leadership - leadership that is flexi-ble adaptive continually modifying itself and al-ways aware of the whole

Two sources on Emer-gent Leadership

Conscious Capitalism

Talk Inc

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In private interviews CEOrsquos shared their frustrations

bullSenior managers talk about change but no change in individual behavior happens

bullStrategy changes while results donrsquot

bullInitiatives are not consistently supported

bullOrganizational ldquosilosrdquo block change

The research identied two attributes ndash lsquoalignmentrsquo and lsquoadaptabilityrsquo ndash which must both be in place and in balance for

organizations to realize their full performance potential

Booz amp Co dened alignment as the ldquodegree of consistency

and coherence among an organizationrsquos core strategy

systems processes communications and culture that set the

context for individual behaviorrdquo They continued by saying that

ldquoalignment without adaptability results in bureaucratic

sclerotic organizations that lsquocanrsquot get out of their own wayrsquordquo

They dened adaptability as ldquoan organizationrsquos ability to detect and cope successfully with changes in the external

environment particularly when such changes are difcult to anticipaterdquo They indicated that ldquoadaptability without alignment

results in chaos and resources wasted on duplicated and conicting effortsrdquo

31

CHAPTER 3 DOMAINS OF INQUIRY

BOOZ KEYNOTE PRESENTATION

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Specic to leadership they summarized that

bullSolo corporate leadership - albeit successful in some companies over the short term - is inefcient and ineffective in the longer term

bullWhen a handful of people make all the calls - over time resources become misallocated opportunities missed and innovation stied

bullSuccessful leaders make it their number one priority to build leadership ldquobench strengthrdquo to institutionalize leadership in the companyrsquos structure and systems

Successful leaders focus on

bullGetting all parts of the organization operating with the same set of objectives based on shared aspirations and common values

bullLocating the lsquoconcrete layerrsquo in the hierarchy that prevents the transmission of messages from top management to the front line

bullSenior management must create the enabling processes and systems necessary to motivate and support new behaviors and radical change

bullChanging decision-making throughout the organization

32

CHAPTER 3 DOMAINS OF INQUIRY

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Strategies for gathering information about leadership

We have taken a set of critical questions about leadership that reect our thinking about emergent leadership and have developed two leader-

ship inventories - assessing the leader and assessing the leadership team

These inventories are based on the work of many people and includes the thinking around Alignment and Adaptability embedded in the Booz amp

Company work

Generally it is suggested you would want to conduct some form of information gathering about the efcacy of leadership when the issue seems

to be about leadership or the issue is large more complicated involves several systems across the organization and is connected to theclimate and culture

33

CHAPTER 3 DOMAINS OF INQUIRY

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

SUBSYSTEM 4 SUSTAINABILITY

Leadership and sustainability are intricately interwoven You canrsquot achieve sustainable systems with-

out highly effective leadership at all levels of the organization

There are many denitions of sustainability and many people use the word assuming that other

people have the same denition which is frequently inaccurate Most people are interested in

sustaining a program rather than building the practices that create sustainability

We believe that the real intention of sustainability is to assure the adaptability alignment and resil-

ience of the system In such a system each new change is an opportunity to build in more learning

and adaptability

Jill Tideman of Dalmau Consulting describes what this looks like in practice

To act with sustainability in mind is to

1 Act from a whole-of-system view point

2 Take into account issues dynamics and consequences in the wider ldquoworldrdquo of which their system is but a part

3 Preserve or enhance options or choices for the system

4 Make choices and act in a manner that does not limit and even enhances the choices that future players might be able to make

5 Ensure that what is undertaken has within it the capability to endure and adapt through time

6 Enables or regenerates the restorative capacity of the system

34

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

It is very interesting to note that leaders and leadership teams

frequently proclaim their organizational visions and talk about the

results they would like to create but they donrsquot talk about or plan for

the way the organization needs to be designed or operate in order to

deliver on and sustain their dreams

In this eBook we offer two approaches from the many possible

approaches to gathering information about sustainability The rst

approach focuses on evaluating the current levels of sustainability

utilizing an appreciative or asset based approach It is best used

when people are open to change and are excited about continually

improving their system

The second approach takes a completely different perspective and

looks at the existing pitfalls or decits relative to sustainability This

approach is often more useful when people in the system tend to be

stuck or complacent about the current results in the system

We believe that both approaches have merit depending on the specic

situation

Approach 1 Sustainability Assets

The Sustainability Inventory examines nine dimensions that we believe

are required to move organizations to greater levels of sustainability

The inventory allows people to assess their current level of

sustainability against these nine dimensions This inventory is

intended to provide a quick check on the perceptions of either the

whole organization a component of the organization (eg Division) or

a subset of the organization (eg Leadership Team)

The results can be tabulated and then a group of stakeholders would

be brought together in a dialogue process to make meaning of the

inventory results Depending on the scope of the issue

(straightforward complicated or complex) the dialogue may lead to a

diagnosis Some possible questions to consider in this dialogue might

be

1 When we look at the trends from the Sustainability Inventory what

areas seem to reect our greatest strengths What areas seem

to reect our most important areas of stretch and why

2 How do these ndings conrm our current understandings of our

system and what surprises seem to emerge that might challenge

our current values and beliefs

3 Given these insights what do we think we need to continue to

build upon in our ways of operating what do we need to consider

challenging and what new areas of strategy and process do we

need to add to enhance our pursuit of greater levels of adaptabil-

ity resiliency and regeneration

You may also wish to consider additional questions related to

sustainability We would like to direct you to the questions under

sustainability in the Key Inquiry Questions Chapter 4 page 46)

Approach 2 Sustainability Liabilities

Synonyms for the word liability include responsibilities charges

burdens problems jinxes and disadvantages These words speak to a

risk in regards to sustainability Risk rises whenever we blunder that

is make mistakes or fail to act appropriately

35

CHAPTER 3 DOMAINS OF INQUIRY

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Doppelt (2003) identies seven common blunders that organizations tend to make around the issue of

sustainability ndash each of these blunders certainly raises the liability side of the corporate ledger no matter how

good the sustainability assets

Doppeltrsquos work suggests that most organizations inevitably fall prey to one or more of these the seven

sustainability blunders Becoming aware of how these mistakes undermine an organizationrsquos efforts to be more

sustainable is the rst step in making the necessary organizational

changes to enhance success These blunders are listed in order

of importance and in most cases if an organization commits the

rst blunder it is likely to have aspects of all the blunders that

follow their primary blunder

bullPatriarchal thinking that leads to a false sense of security

bullA silo approach to social economic and environmental issues

bullNo clear vision of sustainability

bullConfusion over cause and effect

bullLack of information

bullInsufcient mechanisms for learning

bullFailure to institutionalize sustainability

One of the easiest ways to gather information about the downside of an organizationrsquos sustainability ledger is

to evaluate it against Doppeltrsquos Sustainability Blunders (2003) This can be accomplished through a dialogue

with the leadership team around a self-assessment inventory of the Seven Blunders found on the next page

36

A Stake in the Ground httpwwwdalmaucomstake-ground

CHAPTER 3 DOMAINS OF INQUIRY

GALLERY 32 Doppeltrsquos Article on the Seven Sustainability Blunders

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

With enough of the right stakeholders in the room a pretty clear analysis and beginning assessment of these liabilities can be determined

through a simple dialogue This can be accomplished by using the following simple steps

1 The team reviews the video description of the Sustainability Blunders (see video below)

2 Small groups of 6-8 people each are asked to rank each of the blunders on a scale of 1-10 A rating of 1 indicates the blunder does not exist in the organization A rating of 10 indicates the blunder is a driving element of how the system operates The ratings of each member in each small team are posted on enlarged charts of the Sustainability Blunders Survey

3 Each small group has a dialogue about the scoring in their group and charts key insights These insights are then posted

4 The whole group collectively reviews all the charts of each small group and then develops a consensus view about the current state of sustainability In a simple assessment situation the conversation could continue to identify areas for change growth and new approaches

SUBSYSTEM 5 STAKEHOLDERS

The question of who is involved in designing a change effort is more important

than how many people are involved Ownership is always the key factor in change

efforts whether in a team division organization or whole community

One of the major dilemmas faced by most design teams is the appropriate level

of involvement for actual stakeholders clients and customers This is true in all

phases of diagnosis (information gathering interpretationjudgment and

clarifying underlying causes) and in any later design phase Often leadership

teams with good intentions undertake all three phases and subsequent design

work for the people who make up an organization This is rarely successful

37

CHAPTER 3 DOMAINS OF INQUIRY

1 2 3 4 5 6 7 8 9 10Patriarchal thinking that leads to false sense of security

A silo approach to social economic and environmental issuesNo clear vision of sustainabilityConfusion over cause and effectLack of information

Insufficient mechanisms for learning

Failure to institutionalize sustainability

MOVIE 31 SUSTAINABILITY BLUNDERS

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In addition it is important to understand how the organization or system denes itself in terms of who are

the stakeholders This is often very revealing for both the current dilemmas they face and for the ultimate

change strategies that must be incorporated in order to be successful

Albert Einstein stated ldquoNo problem can be solved through the same consciousness that created itrdquo This

speaks volumes about involving more viewpoints into designing futures that break the current negative

governing paradigms

Therefore when getting ready to diagnosis a system in anticipation of doing some large change work it is

essential to conduct a stakeholder analysis The analysis should evaluate the stakeholder groups that are

involved along with the specic people represented in the work based on their passion credibility and the

scope of work

Read more about identifying early adopters

38

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

MOVIE 31 ADOPTION OF AN IDEA MOVIE 32 IDENTIFICATION OF EARLY ADOPTERS

Understanding the importance of identifying and involving early adopters as key stakeholders

A strategy to identify early adopters

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Conducting some form of a stakeholder analysis is always important relative to the intended outcomes of the work It

may be as simple as getting the right cross-section of a division represented in a team talking about communication

systems across the division When exploring an issue that is large in focus more complicated involves many subsys-

tems and has many hidden dimensions you would want to conduct a more formal stakeholder analysis as part of the

information gathering phase of a diagnosis process

It is sometimes useful to take the additional step of understanding the mental models of the stakeholders in-

volved in a change initiative in terms of how each person thinks guides strategy and directs attention If you

are interested in this additional approach please explore the reference in the sidebar on Assumption Analysis

39

CHAPTER 3 DOMAINS OF INQUIRY

For more on the Assumption Analy-sis see Assumption Analysis A Meth-odology for Strategic Problem Solv-ing Ian I Mitrof James R Emshoff and Ralph H Kilmann Management Science (pre-1986)

One of the key areas of analysis needs to be focused on the level of credibility influence and connec-tivity that people involved with a focused initiative have among the rest of the people within that sys-tem

We know from the research on so-cial change that not all people have equal influence on a system (Rogers 2003) The ldquoearly adopt-ersrdquo who represent between 9-15 percent of a population have far more influence on the whole com-munity than do other people These people have significant credibility and influence that needs to be in-cluded in the diagnosis design and implementation phases of a change intervention

An analysis for the early adopters should be part of any activity re-lated to gathering information about stakeholders In the insert on page 38 we outline a simple proc-ess for identifying these early adopt-ers within an organization or whole community

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

SUBSYSTEM 6 OPERATIONS

One big question in this area of analysis is whether the people in the system are excited about the

results being produced for clients customers and employees

If not it is useful to look at the various components of the business infrastructure This means

looking at existing strategies plans procedures processes and organizational structures that are

intended to deliver the stated goals and outcomes for the organization

Paraphrasing Peter Senge from the Fifth Discipline

ldquoSystems are perfectly designed to deliver the results they experiencerdquo

After conducting this Operational Analysis and associated dialogue many organizations realize ldquoour

system is not designed to deliver the intended results and outcomesrdquo Another way of saying this is

ldquowe canrsquot get there from hererdquo

Strategy for operations information gathering

The purpose of gathering information related to operations is to look for the structures that impact organizational success Elements of

these structures will also surface through the leadership climateculture or sustainability

Some key questions to explore through conversations surveys or focus groups are

bullHow is the system currently designed to deliver the desired outcomes

bullHow effective are we in achieving our desired outcomes

bullHow are the current values and principles specically embedded into the current processes practices and structures of the organization What mismatches exist between espoused values and the actual values in use

bullHow do the current operational structures processes and procedures rectify or enhance the current restraining patterns

40

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

bullWhat is the nature of the decision-making processes used by the organization Who makes them

bullWhat are the assumptions that underlie the current operational systems and structures

bullWhat types of accountability processes are in place and how are they utilized Financial controls Resource management Occupational Health and Safety systems

bullWhat types of structural or functional links exist to connect up the organization

bullHow are teams functioning and supported

bullHow would you describe the ways in which key priority programs are connected across the organization How is this supported

bullWhat types of strategies processes or practices are in the current work plan to adjust operations to support the desired outcomes

bullWhat processes are institutionalized for continuous learning and improvement

bullDo people have ready access to the information they need

bullWhat are the unintended outcomes from these organizational structures and process we currently have in place

41

CHAPTER 3 DOMAINS OF INQUIRY

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

FIT TO PURPOSE

Examining a system from each of

the points of view that the six do-

mains represent is a necessary

process It is if you like the sci-

ence of the diagnosis process

But excellence comes from using

both science and art And this is

where we move more out of the

ldquosciencerdquo of the diagnosis proc-

ess to include the more tacit and

intuitive aspects

At this point the question is asked ldquoIs all of this t for purposerdquo

This phrase is heard most often in engineering circles and is best

highlighted by a story once told to us by our friend and colleague

David Green In the city of Melbourne Australia some landscape de-

signers had drawn up plans for a park land in the urban parts of the

city They specied a particular type of large rock to be used for archi-

tectural impact in the parkland and when they came to inspect the n-

ished product they noticed the rocks used were not to specication

They questioned the engineer who had supervised the construction

and of the parkland and he responded that he had replaced the rocks

they specied rocks with others ldquobecause those specied would last

only 15000 years whereas the ones he chose would last 250000

yearsrdquo This is a true story Clearly those originally specied would

have done the job ndash they would have been t for purpose

So much of what goes on in organizations with whom we interact

seems to follow a similar pattern where systems and processes are

either far more than what is required to achieve the outcome or on

the other side of the coin not sufciently designed to achieve the in-

tended result

Examining this issue is a fundamental part of any good diagnostic

process and is best done after the other six sub-systems are ex-

plored

Some questions that may help get at this issue are

1 Why do we exist ndash what is our fundamental purpose

2 Is there one overarching purpose or are there a number of com-

plementary and even contradictory purposes we exist to fulll

3 By what criteria should we be able to tell how well we are achiev-

ing our purpose

4 How well is each of the sub-systems we have just examined con-

tributing to this purpose

5 Where are there areas of over-design over-processing over-

specifying

6 Where are there areas of under-design under-processing and

under-specifying

7 These questions can be summarized in a question we often ask

In terms of what this organization is supposed to achieve what is

working not working or missing

This question can be asked of each of the six sub-systems examined

An additional dimension to consider in this domain is that many or-

ganizations strive to achieve goals and outcomes that transcend their

organizational boundaries Organizations such as Whole Foods The

42

CHAPTER 3 DOMAINS OF INQUIRY

INFORMATION GATHERING

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Container Store Fannie Mae and many others have a much broader environmental social or global purpose that they foster through their

business model and design

To collect information relative to Fit For Purpose we suggest the following steps be undertaken

1 Review the questions that are listed above for each of the 6 areas of information gathering Prepare a summary document of all the

pertinent information that has been gathered along with a list of possible gaps

2 Assemble a team of stakeholders to review the document prepared in Step 1 and explore the critical gaps After completing the gap

conversation conrm the key insights about how closely the organization or team is designed to deliver on its stated purpose and

mission This will provide a nal check on all the areas of information gathering

43

CHAPTER 3 DOMAINS OF INQUIRY

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

44

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

STRAIGHTFORWARD INQUIRYAs we said earlier in this eBook the depth and breadth of analysis and inquiry depends on the focus and scope of the work or issues under consideration In some instances the issue being considered is at the far left side our our continua and a straightforward analy-sis of the parts can lead relatively quickly an identication of the underlying cause(s) We are going to quickly address two scenarios that fall into this category

Back to Chapter 2

Back to page 14

UNDERTAKING THE PROCESS OF DIAGNOSIS

45

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In this scenario the practitioner gathers minimal information inter-

prets and makes judgments about this information and then forms a

view as to underlying cause without an interpretive dialogue with the

client team Most often the practitioner uses their years of experi-

ence and intuition to recognize the patterns and discern the simplicity

of the real issue from the morass of history and emotions presented

by the client To quote Sigmund Freud

ldquoSometimes a cigar is just a cigarrdquo

This happens in many professions and is probably one of the reasons

a client comes seeking guidance and assistance from a professional

They are hopeful that the professional can quickly grasp the situation

and tell them what needs to be done There is a narrow edge to walk

here between giving answers and creating the necessary ownership

within a client group to discover their own answers

Some examples are

1 A bully in a team or a leader of a team that is squashing the

safety productivity and innovation of the team

2 A signicant gap in expected performance in a team or individual

due to lack of qualications capability support or training

3 Lack of human dynamic skills in a key leader resulting in a signi-

cant credibility gap due to a mismatch between the personrsquos be-

haviors and the values of the organization ndash a mismatch between

the person and the role

Back to Chapter 3

In the case of a situation that falls closer to left hand side of our familiar continua more than likely you can either

1 Select the appropriate areas for questions based on the focus and scale This may involve looking at just a couple of areas For example if you were working with a single team you may only want to look at their results and operational analysis and then move to a underlying causes conversation with the team or

2 If it is a small team you may go directly into the information gathering and interpretivejudgment dialogue process with the team then straight into underlying causes thus completing the diagnosis process in a straightforward and simple manner We offer the following matrix of questions that might guide your journey through the information gathering and interpretivejudgment components of the diagnosis process

46

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Scenario A Straightforward information gathering leading to a clear underlying cause

Scenario B Straightforward situation that entails some data gathering followed by interpretive conversations leading to underlying causes

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

KEY INQUIRY QUESTIONS

Key Inquiry QuestionsSubsystems

Current Status Outcomes Espoused and Practiced Values

Patterns Current Strategies

Results amp PerformanceWhat data currently exists relative to your (team organizational community etc) outcomes

What are the current measurable goals objectives key indicators

How are the current values and principles monitored tracked and adjusted

What significant patterns are highlighted by the current results in the organization

What strategies are in place that are designed to deliver on the outcomes

Climate amp CultureHow would we describe the current climate and culture

What outcomes if any exist around the espoused climate and culture

What actual principles are in practice that best describe the current climate and culture

What unintended outcomes exist based on the current climate and culture

What strategies and practices exist that support the current culture and climate

LeadershipHow would we describe the current leadership style and philosophy

What goals exist around leadership for our organization

What values and principles seem most important to leadership based on their actions and practices

What leadership patterns support the organizational goals What is the leadership ldquotalkrdquo and what is the actual ldquowalkrdquo

What are the most prevalent leadership practices that support or impede organizational success

SustainabilityHow would we currently rate our organization on the Doppelt Levels of Sustainability and why

How congruent are the current organizational goals with our understanding of sustainability

What specific principles and processes are in place that support ongoing adaptability and regeneration

What are the most prevalent patterns that support or impede our sustainability

What specific strategies are in place that enhance our ability to adapt adjust regenerate and change

StakeholderWhich stakeholders are currently passionate and involved about the work of our organization

What role do our current stakeholders play in designing the goals and values of our organization

What are the espoused and actual values in practice around stakeholder involvement

How would we describe our typical modes of behavior relative to our stakeholders

What are the primary mechanisms for stakeholder involvement

OperationsHow would we describe the design of our organization

How would we describe the fit between the day-to-day operations and our goals and objectives

How are the current values and principles embedded into the operational systems of our organization

What are the operational assumptions behind the current strategies and processes

What primary processes have been put in place that are intended to support our desired outcomes

When a situation involves a broader focus or wider scope it tends to become more complicated More time and steps are generally needed to

progress through the information gathering interpretationjudgment and underlying causes phases of the diagnosis process

47

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Back to Chapter 2

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

COMPLICATED INQUIRY

As a general rule the larger the system the more complicated it be-

comes This by nature involves more subsystems to be assessed and

for this reason we introduce the Mental Models Process as our sug-

gested approach for conducting the interpretation and judgment

phases

MENTAL MODELS PROCESS The Mental Models Process developed by Chris Argyris and Donald

Schon can be adapted as a useful way of mapping all the information

gathered around the six subsystems (Chapter 3 Domains of Inquiry)

and allows a team to arrive at a clear view of the underlying causes to

complete the diagnosis journey

When time permits the Mental Models process is a powerful process

for challenging and changing the underlying beliefs and perspectives

(mindset) that lter the ways people operate inside a system and

thus perpetuate specic negative results The process accomplishes

this by fundamentally questioning the values and assumptions that

sit behind the current behaviors and strategies within a system or

organization

48

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

To be successful it is essential to include a broad spectrum of

stakeholders in the conversation It is the input from these diverse

stakeholders that challenges the people normally tasked to nd

solutions and helps them to ldquoseerdquo things differently

In the process participants are asked a series of sequential ques-

tions that pertain to a specic context The sequence of questions

starts at the bottom of the model and move upward

Typical questions might be

1 What is the most troubling negative result that the system is currently experiencing (Negative Events amp Result)

2 What behavior patterns cause this negative result (Patterns of Behavior)

3 What structures strategies processes or rules are in place that result in the behavior patterns we just identied (Structure and Systems)

4 When the original architects of our organization designed the system what beliefs or assumptions must they have held to have designed the current system (Mental Models)

The model described above can be used as an underlying framework

for the whole diagnostic process It can also provide a visual model to

map all of the data collected from the 6 subsystems in a way that will

allow an individual team or large cross-section of a system to assess

and arrive at a view of the underlying causes Sometimes the use of

such visual mapping can also unleash deeper levels of learning and

insight in the group far beyond what the initial process surfaced

The mapping on the following page includes the various tools and

processes (identied in Chapter 3 Domains of Inquiry) that a

consultant might use organized around the sequential questions in

the Mental Models Process This visual mapping relies on a series of

sequential conversations that are deeply informed by data collected

through the six subsystems starting at the bottom with the

information gathered around results and performance

49

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Mental Models Process

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

50

Seven Subsystems for Information Gathering Core Question

Useful Processes or Inventories

6 Leadership

Mental Models

Given all the answers to the questions below what must be the underlying beliefs that are generating all of these structures practices behaviors and results

What are the specific roles that leadership currently model in support of the organizational outcomes What values and principles seem to be most important to leadership based on their actions

Leadership Inventories

5 Operations

4Sustainability

Structures Strategies Processes and ProceduresWhat strategies structures processes (or lack thereof) cause people to behave in ways that contribute to the negative results How is the system currently set up to deliver on the desired outcomes

What specific principles and practices are in place that support the ongoing adaption and evolution in the organization

Considering the sustainability blunders how would you assess this organization relative to this change initiative What things are going on that foster and support enhanced sustainability

Doppeltrsquos Sustainability Blunders Inventory and Sustainability Inventory

3 Culture amp Climate

2 Stakeholders

Patterns of BehaviorWhat are the behaviors or patterns of behaviors that create the negative results What are the actual principles that govern the behaviors of people and teams in the organization

Who are the stakeholders in the system and what are the primary mechanisms for stakeholder input and involvement

Organizational Lifecycle InventoryIdentification of the Early Adopters Process

1 Results and Performance

Negative ResultsWhat are the key negative results with customers clients and employees

Collecting the most current key performance indicator data

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

These sequential dialogues end up painting a view of the underlying

causes at the top of the diagram ndash the current set of beliefs values

and dynamics that lter everything else in the system In cases where

the people involved are not subject to huge forces outside their

inuence these beliefs guide the selection of the existing structures

programs practices strategies policies and procedures (or lack

thereof)

People operating within these structures behave in certain ways This

collective behavior reects the culture and climate of the organization

It is the patterns of behavior that create the actual results either

positive or negative that the system experiences

STRATEGIC APPROACHES LEADING TO UNDERLYING CAUSES - COMPLICATED INQUIRY

Now that you have models tools and processes to gather information

and then form interpretations and judgments about underlying causes

on the path to a diagnosis we would like to suggest three ap-

proaches you might consider in reaching the diagnosis

Strategy 1 Consultant Approach

The rst method would be for the consultant leader or project team

to gather the information interpret the information and form judg-

ments as to underlying cause in the absence of the full stakeholder

group This is sometimes the charter for a project team and they

would then present their ndings to the top leadership team

The advantage of this approach is that it is efcient and relatively

objective however it is fraught with challenges There is likely to be a

high level of resistance to ndings reached in this way and little

organizational learning occurs Much additional work would be

needed by the project management team around change

management

Strategy 2 Real-Time Stakeholder Approach

In this approach the consultant or leader assembles a large cross-

section of the full stakeholder group and uses this group to gather

the information interpret it and make judgments about it and then

form a view as to underlying cause

51

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

The power of this approach is that tremendous learning occurs By the end of the process the whole group is likely to have more understanding

as to why they are in the situation they are in and a much higher level of commitment and ownership to work together to nd and implement

solutions

The major downside of this approach is that the information gathered is based solely on the experiences judgments and possible hallucina-

tions of the stakeholders attending We have sometimes found this approach to be a challenge

Strategy 3 Combined Approach

An alternative and perhaps ideal way of reaching the diagnosis would be to combine the other two strategies - assemble all the information

utilizing all the various information gathering steps outlined in Chapter 3 and then walk an extended stakeholder group through for example

each step of the Mental Model Process to interpret it and make judgments about it and then to form a view as to underlying cause The

stakeholder group is encouraged to ask questions and build shared understanding at each step of the process

Obviously this is a more time consuming and labor intensive process however it is often the approach of choice producing all the upside and

greatly minimizing any downside or misdiagnosis

AN EXAMPLE OF A COMPLICATED INQUIRYA school district in California asked one of us to assist their leadership team in understanding why the district leveled out in terms of student

achievement and several other of their key indicators of success

This district had been one of the stellar examples of a high functioning school district for many years It experienced some signicant leader-

ship changes and with the increasing performance standards under the federal mandate ndash No Child Left Behind ndash drifted into Program Improve-

ment

In this client example we used Strategy 2 as described above - real-time stakeholder involvement in which twenty key stakeholders went through

the Mental Models Process The conversation took about 2 hours to conduct The following represents the key points that surfaced out of the

dialogue

ldquoWe are the best of the best in the United States Hire the best and the rest takes care of itselfrdquo

ldquoWe donrsquot need to seek input from the outside because we already have the best talentrdquo

ldquoProvide massive amounts of professional development and our people will be able to do anythingrdquo

ldquoWhen you reach the district level of leadership people will listen to you because you truly are the best of the bestrdquo

ldquoWhen you hire the best you shouldnrsquot need accountability measuresrdquo52

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

These beliefs had the following unintended consequences

bullIf a leader or teacher was to admit that they didnrsquot know something it was perceived as a sign of weakness Very capable leaders ended up being managers rather than leading their sites to higher levels of success This dynamic was not so much the result of the superintendent but due to a long-term pattern among all the players in the system

bullLeaders felt and operated all on their own When they reached out for help it was because they were in real trouble or only through their informal relationships

bullSome of the district staff operated as if they had all the answers After all they had risen to the top of the best of the best This created a signicant distrust between line and district leadership

bullThe district stopped going outside to bring in innovative ways of operating It became very insular and isolated even though they provided vast numbers of professional development and collaborative opportunities

Relative to Doppeltrsquos sustainability blunders this system was impacted by Blunders 3 6 and 7 They had lost sight of their systemsrsquo

perspective on sustainability over the years and they had been unable to institutionalize mechanisms for learning across the system due to the

unspoken and pervasive belief that they shouldnrsquot ask for help from others They had the protocols but they were just going through the

motions It was a competitive rather than a collaborative environment with little openness or trust

53

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

WORKING WITH COMPLEX ISSUES

At this juncture in the book we move from straightforward inquiry through complicated inquiry to

complex inquiry We use the term ldquowhole-of-system inquiryrdquo to signify looking at the whole not

just the parts

The astute reader will have noted that we suggested in when working with a Complicated Inquiry

the use of the Mental Models Process and associated visual mapping for what we termed a

complicated inquiry leading to diagnosis We suggested its use for settings that are larger more

complicated more tacit issues and more than one system is involved But we omitted two other

criteria complex and unconscious

It is our experience that where we

1 truly have order and disorder existing simultaneously in the system (ie it is a complex system) where

2 it is a relatively open system and where

3 there are signicant unconscious components

then a different approach is recommended

In this section we introduce The Strategic Inquiry Enneagram (SIE) based on The Process Enneagram (PE) The

SIE can be extremely helpful to complex inquiry It can also assist in the nal stage of the diagnosis journey

Richard Knowles developed The Process Enneagram It is a practical and useful adaptation of the body of

knowledge known as systematics combined with complex adaptive systems theory The Process Enneagram is

useful in many different ways it can serve as both a framework for a way of thinking as a change agent and

as a process tool for facilitating powerful dialogues It can be used to understand the current state and deep

patterns of a system as a strategic assessment tool as a planning tool and as a guide in designing a facilita-

tive intervention

Back to Chapter 2

54

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

FIGURE 41 The Process Enneagram

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

In a nutshell the Process Enneagram is made up of nine points of focus Its power lies in its capacity to generate shifts in a group in all of the

rational emotional and social levels of a grouprsquos experience This effect arises in part from the unique sequence of the conversations it drives

in groups Normally when people plan they talk about the problem and how they are going to x it In using the Enneagram the dialogue se-

quence focuses rst on understanding before ldquosolutioningrdquo

We are explicitly using the Process Enneagram in this book for complex inquiry and for that reason we are going to call it the Strategic Inquiry

Enneagram What we are calling the Strategic Inquiry Enneagram is similar to the Process Enneagram but distinct in a couple of critical areas

hellip the labels are slightly different to give more specic meaning to some key points the questions are all geared toward the current and past

practices of the system and at times some variations on the sequence are utilized

bull Current State and Identity Our current sense of who we are and how we got to be here of what drives us both the positive and negative aspects Our status quo in all its aspects including our history the story of how we got to be where we are This also includes the hard-nosed descriptions of the actual performance of the system in concrete measurable terms

bull Relationships and Connections Description of the nature and functionality of relationships among individuals groups and other elements in and across the system as a whole It also includes an examination of the functionality of connections across the system eg between departments between our group and some key stakeholders between different areas of activity such as marketing and production curriculum design and teaching

bull Information and Will Our understanding about the importance of information and our beliefs about the relationship of information to individual and organizational effectiveness Our description of how information ows what is and is not available and what we collude to ignore Andhellip how that information then either enhances or inhibits alignment and shared willingness to act in concert

bull Intention An examination of what we set out to achieve and how well we are doing in our pursuit of our ambition This can cover a whole range of both soft and hard issues vision ambition purpose performance results value add strategic intent

55

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 The Enneagram as a Journey Map

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

bull Principles and Ground Rules The assumptions and ways of operating we take for granted that model our beliefs and our intentions within the organization These ways are expressed in the standards and ground rules we work and live by They can be strategic operational or behavioral They can be ldquoespousedrdquo or ldquoin userdquo

bull Tensions and Issues The existing constraints realities dilemmas contradictions and behavioral patterns currently keeping individuals teams or the organization as a whole from realizing the desired intention

bull Structures and Strategies The current strategies and approaches we pursue to achieve our intention What are they and how well do they help us achieve our intention

bull Current Work The behaviors actions processes procedures and systems we use to implement each of our key strategies

bull Deeper Learning and Sustainability This occurs after the previous 8 steps have been completed and made visual in one diagram or set of notes where everyone involved can look together at the whole system It seeks to elicit the recurring underlying repetitive mental models beliefs and patterns of behavior that sustain the whole As such this part of the whole-of-system inquiry moves along the diagnosis journey into interpretation

56

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

The Strategic Inquiry Enneagram (SIE) as a dialogue process is the model of choice when conducting

a complex inquiry The questions focus on the current state and past patterns for the team

organization or system being considered

When the focus and scope of the work is limited the SIE can be used to conduct a powerful complex

inquiry that can lead directly to understanding the underlying causes

If we return for a moment to the types of situations described in Straightforward Inquiry then in a

more complicated situation with a much larger focus or scope of work the points of the Enneagram

can also be used as the synthesizing tool to pull together all the information collected through more

detailed analyses

People often ask ldquoWhat questions would

I ask at each stage of the Enneagramrdquo

To answer this question we have

provided a number of enneagram

templates Each template provides

guidance to select the best questions

depending on your particular

circumstances or context In complex

situations you may use more than one

template depending on the various

groups that you convene

57

A REMINDERWhen one is using the Enneagram the type of interaction that will generate the most useful result is dialogue

Dialogue The Art Of Thinking Together by Isaacs William (Dec 30 2008)(23) Crown Business 1 edition (Septem-ber 14 1999) ISBN-10 0385479999

INTERACTIVE 41 Strategic Inquiry Enneagram Templates

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

USING THE STRATEGIC INQUIRY ENNEAGRAM

The following are our suggested preparation steps for a complex inquiry dialogue using the Strate-

gic Inquiry Enneagram All of these steps are dependent on the initial decisions about the focus

and scope of the project and related outcomes

58

FOCUS AND SCOPE Focus is the ex-tent of the area or subject matter that something is concerned with or to which it is relevant The focus might be limited to one particular is-sue within an organization such as safety quality HR curriculum cus-tomer satisfaction or to the whole or-ganization

Scope is the relative size or extent of something In our context the scale might extend from an individual pair team inter-team a division whole or-ganization or wider environment

This is a necessarily short descrip-tion of the dialogue process For a more robust and detailed ldquohow tordquo we suggest you consult Dalmau Tide-man and Taylor ldquoProcess Enneagram Workbookrdquo For an overview of the facilitation of the Process Ennea-gram refer to Taylor C Title goes here and link as well

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 Facilitation of the Strategic Inquiry Enneagram

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Preparation Steps

1 Identify the outcomes you desire from the dialogue that will use the Strategic Inquiry Enneagram If multiple dialogues are

necessary based on the scope andor scale variations in outcomes may exist

2 Assemble the pertinent information from all of the analyses that have been conducted (see Chapter 3 Domains of Inquiry

page 22) Once again the depth and range of these analyses are related to the overall scope and scale of the project and

slight variations may exist on what is deemed pertinent in different dialogue processes

3 Using the various Strategic Inquiry Enneagram templates (see page 56) select the most pertinent questions for each dia-

logue

4 Considering the importance of selecting the right people for each dialogue select and invite the most essential people for

each dialogue processes

5 Design a concise summary of the results from all the analyses

6 To better inform the SIE dialogues you may consider one or more of the following additional pre-steps

bull Interviews with all members of the leadership team ndash that may include members of the senior leadership team mangers

and departments leaders

bull Surveys of employees impacted by the key issues being addressed in each dialogue

bull Convening and conducting focus groups with employees key stakeholders clients or customers

59

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Convening the Dialogue

1 Welcome the people into the dialogue and state the intended outcomes for the session

2 Present the summary of the analyses ndings as a means of setting the context for the dialogue

3 Engage in the Strategic Inquiry Enneagram questions that were pre-selected understanding that other questions will naturally

emerge as the process unfolds

4 Use a whiteboard ip chart or projector screen to capture the comments from each question This will prevent people from

getting stuck on personalities blaming each other and will also help people get a sense of the whole picture as it emerges

through the conversation

5 Utilize the Deep Learning and Sustainability questions as an opportunity to have all the members of the process think about

the meaning of the whole system rather than just the parts It is at this juncture that the deepest understanding of the

underlying causes (completion of the diagnosis process) emerges

60

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

Sometimes a situation starts out as apparently simple

but emerges into something more complicated that

requires a whole-of-system synthesis Some of these

apparently simple situations can show up as being

more complicated and requiring more sophisticated

interpretation and judgment before arriving at the

underlying cause or causes

In these situations we would suggest the use of the

Process Enneagram to conduct the synthesis that leads

to underlying cause

Again we refer you to the Strategic Enneagram Assess-

ment templates to select the appropriate questions for

your context

61

CHAPTER 4 UNDERTAKING THE PROCESS OF DIAGNOSIS

MOVIE 41 A Diagnosis Story

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

EPILOGUEFROM DIAGNOSIS TO DESIGNCHANGE DESIGN AND MANAGEMENT

After learning all the models and steps involved in diagnosis the obvious question is ldquoSo now I know

the diagnosis what do I do nextrdquo Answering this question is not the focus of this e-book but we

direct you to Steversquos book Leadership Practices for Challenging Times Section 7 to learn the tools

and tips on Process Design It will take you from the diagnosis to then choosing and designing various

approaches to reaching design solutions

CONCLUSIONS AND NEXT STEPS

bullWe hope you have found this e-book to be a useful hands-on tool for analyzing assessing and diagnosing organizations teams and larger systems It has been a joy pulling this information together for you and if we can be of further assistance in your learning journey please contact Steve at stevestevezuiebackcom or Tim at timdalmaucom

bullOur next book will take you from diagnosis through the powerful strategies and approaches to transform your organization Watch for this next e-book on our websites at httpwwwstevezuiebackcom or httpwwwdalmaucom or subscribe to our newsletters at

Steversquos Newsletter

Timrsquos Newsletter

bull Join our blogs at wwwstevezuiebackcomblog wwwdalmaucom

EPILOGUE

62

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

REFERENCES AND USEFUL READINGS

Dalmau and Dick (1999) Values in Action Applying the Ideas of Argyris and Schon Interchange

Dick Robert and Tim Dalmau (1988) To Tame a Unicorn Recipes for Cultural Intervention Interchange

Doppelt Bob (2003) ldquoOvercoming the Seven Sustainability Blundersrdquo The Systems Thinker Vol 15 Number 5 Pegasus Communications

Gladwell Malcolm (2000) Tipping Point How Little Things Can Make A Big Difference Little Brown

Haughton Rosemary (1997) Images of Change The Transformation of Society Paulist Press New York

Isaacs William (2008) The Art of Thinking Together Crown Business

Knowles Richard (2002) The Leadership Dance Pathways to Extraordinary Organizational Effectiveness The Center for Self Organizing Leader-ship Niagra Falls New York

Korzybski Alfred (1994) Science and Sanity An Introduction to Non-Aristoltelian Systems and General Semantics 5th Edition Institute of General Semantics

Mitrof Ian and James R Emshoff and Ralk H Kilmann (1979) ldquoA Methodology for Strategic Problem Solvingrdquo Management Science Vol 25 No 6 June 1979

Neville Bernie and Tim Dalmau (2008) Olympus Inc Intervening for Cultural Change in Organizations Flat Chat Press

Rogers Everett (2003) Diffusion of Innovations Fifth Edition New York Free Press

Senge Peter ndash Fifth Discipline The Art and Practice of the Learning Organization New York Doubleday 1990

Sherwood J et al (1977) Leadership the responsible exercise of power Management Design Inc 110 East Eighth Street Cincinnati Ohio USA45202

Zuieback Steven (2012) Leadership Practices for Challenging Times Principles Processes that Work Ukiah California wwwstevezuiebackcom

Zuieback Steven (2010) Facilitation Skills for Chaotic Times ndash Process Flash Cards Ukiah California wwwstevezuiebackcom

63

EPILOGUE

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next

64

EPILOGUE

MOVIE 41 Transitions From Diagnosis-Whatrsquos next