LEADERS AND THEIR LEARNINGS: WHAT AND HOW LEADERS LEARN AS THEY TRANSFORM ORGANIZATIONS Archie Tinelli Dissertation submitted to the Faculty of the Virginia Polytechnic Institute and State University in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Adult Learning and Human Resource Development Marcie Boucouvalas, Chair Marilyn Lichtman Linda Morris Ron McKeen Albert Wiswell March 1, 2000 Blacksburg, VA Key Words: Leaders, Learning, Organizational Transformation Leaders and Their Learning: What and How Leaders Learn as They Transform Organizations Archie Tinelli (Abstract) This study sought to better understand the learning of leaders who undertake the task of organizational transformation. This inquiry, designed as a qualitative case study of two leaders and informed by a constructivist-interpretivist paradigm, was guided by the following research question: When leaders undertake the task of organizational transformation, what can be discovered about what they learn and the process of how they learn? The leaders learned about themselves and about how to transform their organizations. The leaders confirmed knowledge they already had about themselves (what motivates them) and they developed new understanding of themselves (their leadership style). In addition, they developed new strategies and tactics for transforming their organizations (for example, ways to deal with troublesome staff members). The study also found that the leaders operated from a work-oriented mental model that dominated their thinking. The leaders’ learning was embedded in and inextricably ii linked to their work; it was accidental, incidental, and tacit. The leaders’ learning was heavily influenced by four factors: organizational context, the use of intuition to generate options and solutions, the use of daily prayer by both leaders (an unexpected finding), and consultation with a network of professional colleagues. The data were collected throughout one year in which the leaders, who served as co-researchers, were observed six full days each (distributed across the year) and interviewed more than eight hours each. Interviews were also conducted with several staff members from each leader’s organization. The data were analyzed during several iterative stages that included the researcher working independently as well as collaborating with each of the two leaders. Further, one long-time colleague of each leader from outside each of the organizations provided an additional perspective on the data. This study also demonstrates the complex, rich, and dynamic nature of qualitative research by distinctively portraying the data, its analysis, and the research experience. Parallel (side-by-side) columns simultaneously present descriptions of the research experience and the analysis of the data. In addition, there are two sets of internal links encouraging the reader to alternate between the research experience and the analysis (in Chapter Four) and between the research method (in Chapter Three) and the researcher’s reflections (in the Appendices). iii Practitioners and scholars may want to examine further the extent to which the factors identified in this study (the leaders’ mental model, organizational context, prayer, intuition, and consultation with colleagues) influence leaders transforming organizations. iv Dedications This study would not have happened without the encouragement, advice, and guidance of my sister, Linda Tinelli Sheive. As older siblings are wont to do, she took me under her wing and nurtured me until I succeeded. She was always available when I got stuck. She provided guidance and direction when I needed it without ever taking over or having me do it her way. She will forever be an inspiration to me and stand as an example of what exceptional friends, teachers, and siblings do. My sons, Christopher William Tinelli and Joshua Samuel Tinelli, are, and have been, my best teachers. They surprise and challenge me regularly. They serve as catalysts to reap lessons from and create meaning in my life. My wife, Judy Downs Tinelli, encouraged me throughout, prodded me when needed, and forgave me the all-too-frequent early morning departures from the house to work on this document in a nearby coffee shop. Her love and support created the emotional environment that enabled me to persist. v Acknowledgements Several people merit thanks for their contribution to this study. First and foremost are the two leaders who allowed me into their lives and their organizations and who spent innumerable hours sharing their stories, reflecting on their work and their learning, and analyzing and helping to shape the direction and outcome of this study. As co-researchers they are as instrumental to the findings and conclusions of this study as the researcher. Bill LeClere and Linda Tinelli Shieve introduced me to the two leaders and, as long-time colleagues of the leaders, encouraged them to participate in the study. Without their efforts to recruit the leaders, there would be no study. In addition, they read and commented on the narratives, thereby providing an additional measure of accuracy to those sections. Drs. Marcie Boucouvalas and Margaret Lichtman, as the chair of my committee and researcher, respectively, contributed invaluable insight and analysis to improve this work. They were patient and supportive of a fledgling academic. vi Table of Contents Cover Page i Abtract ii Dedications v Acknowledgements vi Table of Contents vii Table of Internal Links – Part I xi Table of Internal Links – Part II xii List of Tables xiv List of Figures xv Chapter One: Introduction and Background 1 Introduction 1 Background of the Study 2 Statement of the Problem 17 Purpose of Study 18 Significance 18 Research Questions 19 Definitions 20 Assumptions 25 Chapter Two: Literature Review 27 Introduction 27 The Historical Foundation 31 vii The Conceptual/Theoretical Framework 43 Related Research 79 The Environment 79 Leaders and Their Learning 98 The Environment in which Leaders Operate 111 Conclusions and Research Questions 120 Chapter Three: Method 122 Introduction 122 Sites and Subjects of Study 122 The Researcher 126 Interpretive Paradigms 134 Strategies of Inquiry 136 Methods of Collecting and Analyzing Empirical data 141 Methods Used to Collect Data 145 Methods Used to Analyze Data 159 The Art of Interpretation 174 Chapter Four: Analysis and Narratives 180 Advice to the reader 180 Analysis 182 Introduction 182 A Distinctive Mental Model 184 viii Organizational Context 188 Organizational Culture 193 The Leaders’ Mental Model 199 Factors Influencing How Leaders Work 201 Models for Organizational Transformation and Problem Solving 212 Adult Education Concepts 282 What Leaders Learned 314 Summary 331 Narratives 182 Note to the reader 182 Narrative One: A Day with Her 184 Narrative Two: A Day with Him 253 Chapter Five: Summary, Conclusions and Recommendations 336 Introduction 336 Summary of Findings 338 Conclusions 341 Adult Educators and Leaders’ Learning 350 Lessons Learned by the Researcher 355 Recommendations 360 Further Research 364 Conclusion 367 ix References 370 Appendices 390 Reflection on Unending Story Writing 390 Reflection on Unanticipated Effects 393 Reflection on Finding Participants 396 Reflection on My Status as a Consultant 399 Reflection on Informants’ Value 402 Reflection on Leadership as a Topic 406 Reflection on Cultural Roadblocks 410 Reflection on the Researcher as Detective 413 Vita 415 End Notes 416 x