DIAGNOSIS: THEORY TO PRACTICE - Steve Zuieback
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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