Topic

Models of
Planned
Change II
Action
Research

LEARNING OUTCOMES
By the end of this topic, you should be able to:
1.

Explain the concept of action research;

2.

Describe the steps involved in the respective models of action

research;

3.

Compare and contrast the various models of action research; and

4.

Explain the advantages and disadvantages of action research.

X INTRODUCTION
The previous topic presents Kurt Lewins force field analysis and three-step
model of change. This topic continues with his work on action research, which is
an action- and research-oriented change process. The action research model
comprises a series of steps but its main feature is on diagnosis and problemsolving. It is an iterative cycle of research and action involving considerable joint
efforts between the change agent (the behavioural science expert) and
organisation members. The techniques and practices of action research help
managers unfreeze an organisation, move it to its new desired state, and refreeze
it so that the change is sustained.

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5.1

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MODELS OF PLANNED CHANGE II ACTION RESEARCH

LEWINS ACTION RESEARCH MODEL

Action research A problem-focused process that involves data collection

and analysis to identify the need for change, implementation of interventions
for change, and evaluation of the results of the implemented changes.

Lewin also recommended an action research approach to change. An action

research approach takes the view that change is a combination of action
orientation and research orientation. An action orientation involves diagnosing
current problems and introducing interventions to resolve the problems. An
action orientation involves collecting data to diagnose the problems and
systematically evaluate how well the problems can be solved.
The action research approach involves a series of steps in the change process. The
number of steps described by various authors ranges from five to eight steps. The
following sections present George and Jones (2005) five-step model, Rollinsons
(2005) six-step model, and Cummings and Worleys (2005) eight-step model of
action research.

5.1.1

George and Jones (2005) Five-Step Model of

Action Research

George and Jones (2005) model of action research includes the following five
steps:
(a)

Diagnosis of the Organisation Problem

The first step in action research is to determine whether there is a need for
change. In general, recognition of the need for change arises because there
is a gap between desired performance and actual performance. The
performance gap indicates the existence of a problem that needs to be
solved. Examples of problems that call for a change to rectify the problems
are:
(i)

Sales for products and services are declining;

(ii)

Customer complaints about the quality of goods and services have

increased;

(iii) Operating costs have escalated;

(iv) Profits have declined; and
(v)

Turnover among employees is extremely high.

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Diagnosing the problems of an organisation is a complex process. Like a

doctor diagnosing the cause of a patients illness, the change agent needs to
distinguish between symptoms and causes. Starting with the suspected
symptoms, for example, customer complaints and frustration, data is
gathered and analysed to reveal its cause. This involves gathering
information from customers and employees to obtain their versions of the
matter. The change agent needs to carefully collect information about the
organisation to diagnose the problem correctly and get the change target
(employees) committed to the change process.
(b)

Determining the Desired Future State

The second step is to determine the organisations desired future state, that
is, where it needs to be. Determining the desired future state requires the
managers identification with the companys vision, mission, organisational
structure and strategy. Managers need to plan and develop the best course
of action that can move the organisation to where it wants to be. For
example, should the organisation focus on cost and production efficiency?
Or, are improving product quality and excellent customer service the key to
success? What is the appropriate organisational structure to support the
achievement of the organisational goals a flexible, organic structure or a
bureaucratic, mechanic type of structure?

(c)

Implementing Action
Implementing action involves three activities:
(i)

Identifying possible impediments to change at the organisation, group

and individual levels. For example, employees may resist change
because they are afraid of new ways of doing things. Managers must
find ways to minimise resistance to change;

(ii)

Deciding who will be responsible for overseeing the change process

and who will actually make the change. The organisation may engage
an external change agent an outside consultant who is an expert in
change management, or an internal change agent someone who is
knowledgeable and has experience in managing change; and

(iii) Determining the specific change strategy that will most effectively
unfreeze, change and refreeze the organisation. Specific change
techniques will be chosen and implemented.

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(d)

Evaluating the Action

This step is about evaluating the action that has been taken and assessing
the effectiveness of the change. It is important to develop measures or
criteria in evaluating the change actions. Information can be collected from
the employees and customers to assess the impact of the changes made. For
example, managers can obtain the statistics and see whether the number of
customer complaints has been reduced.

(e)

Institutionalising Action Research

The organisation must institutionalise action research, that is, refreezing the
organisation in its new state. The change, such as a new work method, will
become a norm or standard practice adopted by employees of all levels in
the organisation. The change must be reinforced by some rewards, which
are an important motivational tool for learning and sustaining the desired
organisational behaviour.

Figure 5.1 shows the five steps in action research:

Figure 5.1: The steps in action research

Source: George & Jones (2005)

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SELF-CHECK 5.1
1.

Explain the concept of action research.

2.

Describe the five-step model of action research.

5.1.2

Rollinsons (2005) Six-Step Model of Action

Research

Rollinsons (2005) model of action research includes the following six steps:
(a)

Problem Identification
This step involves the identification of an existing problem in the
organisation. For example, the change agent may identify that the way the
customer service department handles queries and complaints is not
efficient. As a result, customers experience delay and frustration in getting
an answer.

(b)

Data Gathering and Diagnosis

The second step involves the analysis of collected data. The change agent, a
manager or an outside consultant begins by collecting information about
problems and issues of concerns. The aim of this step is to diagnose the
current situation to determine the cause of the problem. The change agent
may collect data by asking questions, interviewing employees, reviewing
records and listening to the concerns of employees and customers. Data are
then analysed to determine what is going on and why problems are
occurring.

(c)

Feedback
Action research requires extensive involvement from the change target.
Whoever will be influenced by the change intervention must be actively
involved in identifying both the problem and solution. Feedback requires
sharing of information with the target of a change (employees) which has
been found in the diagnosis and analysis steps.

(d)

Action Plan
Both parties will jointly develop action plans for the needed changes.
Working together, both the change agent and employees develop a
potential solution to the problem. The proposed solution plans to unfreeze
the status quo of the organisation.

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(e)

Action
The proposed solution is put into practice by the employees who adopt the
new changes new patterns of behaviour, new systems, new work
processes, new methods of production, new customer services, etc.

(f)

Evaluation
The last step is the evaluation of the effectiveness of the action plan. Data is
gathered after the implementation to determine whether there is an
improvement, how much of an improvement has been made, or how
workable the solution is.

Action research should be seen as a cyclical process in which information about

the implemented action will guide subsequent actions. The results of the
implemented action are assessed to provide information to guide further action.
The feedback of results will help both the change agent and employees to jointly
develop a new or modified action plan. The proposed new solution will be
implemented and evaluated again. This cycle of steps will be repeated as
necessary. Figure 5.2 shows the action research cycle graphically:

Figure 5.2: The action research cycle

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SELF-CHECK 5.2
Describe the six-step action research cycle.

5.1.3

Cummings and Worleys (2005) Eight-Step

Model of Action Research

Cummings and Worley (2005) presented eight cyclical phases or steps of planned
change as defined by the original action research model. This classic model is an
iterative cycle of research and action involving considerable joint efforts between
the change agent and organisation members. The iterative cycle process involves
data collection after actions are implemented to guide further action.
The eight steps of the classic research action are:
(a)

Problem Identification
The action research begins with the recognition of problems existing in the
organisation by a key organisation member who may be a manager, staff
specialist, or some other key participant. The problems may be specific (e.g.,
decreased market share or increased employee turnover) or general (e.g,
we are moving too fast or we need to prepare for environmental
changes). It is believed that the problems might be solved with the help of
a consultant or change agent.

(b)

Consultation with a Behavioural Science Expert

The behavioural science expert refers to the professional consultant or
change agent who is an expert in change interventions. The change agent
can be someone from inside or outside of the organisation. During the
initial contact, the change agent and the client (the organisation seeking for
changes) must carefully evaluate each other to determine whether they can
work together effectively. Both parties must be open to each other to
negotiate a healthy collaborative relationship.

(c)

Data Gathering and Preliminary Diagnosis

Data collected will be analysed carefully to determine the underlying
causes of organisational problems. The basic methods of data collection are
interviews, observation, survey questionnaires and organisational
performance data.

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(d)

Feedback to a Key Client or Group

The results of data analysis are fed back to the organisation. The feedback
will help organisation members to assess their own strengths and
weaknesses and to understand the nature of the existing problems.

(e)

Joint Diagnosis of the Problem

With the feedback, organisation members discuss with the change agent
and jointly diagnose the underlying causes of the problems. Both parties
will explore all possible solutions and come up with a solution plan that is
acceptable by all members concerned.

(f)

Joint Action Planning

In this step, the change agent and client members jointly agree on the action
plan to be implemented. This is the beginning of the moving process, as
described in Lewins three-step model, to reach a different desired end
state.

(g)

Action
The proposed action plan is put into practice. The change agent and the
employees carry out the action plan to correct the problem that has been
identified. This stage involves the actual change from one organisational
state to another. For example, implementing new work methods and
operating procedures, restructuring, job redesigns, and reinforcing new
performance standards.

(h)

Data Gathering after Action

Data must be gathered after the action has been taken to determine the
consequences of the action. This feedback may determine a need for
rediagnosis and new action plan. The cycle is then repeated as necessary.

Figure 5.3 depicts the eight steps and the cyclical phases of the action research
model.

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Figure 5.3: The cyclical phases of the action research model

Source: Cummings & Worley (2005)

The steps of the three models of action research which we had just discussed are
summarised in Table 5.1 for comparison purposes.

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Table 5.1: Comparison of Action Research Models

Step

The Five-Step Model

The Six-Step Model

The Eight-Step Model

Diagnosing the
organisation

Problem identification

Problem identification

Determining the
desired future state

Data gathering and

diagnosis

Consultation with a
behavioural science
expert

Implementing action

Feedback

Data gathering and

preliminary diagnosis

Evaluating the action

Action plan

Feedback to a key client

or group

Institutionalising action
research

Action

Joint diagnosis of the

problem

Evaluation

Joint action planning

6
7

Action

Data gathering after

action

In conclusion, Lewin developed action research as a means to jointly explore

problems and to find collaborative solutions between the change agent and the
change target. Action research is a strategy designed to achieve organisational
improvement by increasing the problem-solving capabilities of the organisation
and by developing the employees who engage in the planned change.
Clearly, there are advantages and disadvantages to the the action research
approach. The advantages include:
(a)

It is a strategy that managers can use to plan the change process

systematically.

(b)

Under this approach, change is objective-centred and can be introduced in

increments.

(c)

It is suitable for organisations operating in a stable environment.

(d)

The people who have to implement changes and those who are affected by
the changes are involved at an early stage.

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(e)

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The early involvement of people in the change process will help reduce
resistance to change.

The disadvantages of action research include:

(a)

It is not suitable for organisations operating in a dynamic and complex

environment.

(b)

It may not be appropriate to use for solving new, unforeseen problems in

the organisation.

(c)

The effectiveness of the action research method depends on the ability to

obtain accurate data for analysis.

Action research underlies the most current approaches to planned change and is
often considered synonymous with organisation development (OD), which will
be discussed in the next chapter.

SELF-CHECK 5.3
1.

Describe the eight steps as defined by the original action research

model.

2.

Compare the three action research models and identify the

common steps of the models.

3.

Justify the major advantage and disadvantage of action research.

ACTIVITY 5.1
Examine the change processes in your organisation and determine
whether they follow the eight steps as defined by the original action
research model action research approach.

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Action research is a problem-focused process that involves data collection

and analysis to identify the need for change, implementation of interventions
for change and evaluation of the results of the implemented changes.

The five-step action research model involves: diagnosing the organisation,

determining the desired future state, implementing action, evaluating the
action and institutionalising action research.

The six-step action research model includes: problem identification, data

gathering and diagnosis, feedback, action plan, implementing action and
evaluation.

The eight-step action research model comprises: problem identification,

consultation with a behavioural science expert, data gathering and
preliminary diagnosis, feedback to a key client or group, joint diagnosis of the
problem, joint action planning, action and data gathering after action.

Action research is an iterative cycle of research and action involving data

gathering after action to guide further action.

A fundamental part of the action research method is to involve the change

target in identifying the extent of the problem and suggesting potential
solutions.

The main advantage of action research is that the people who have to
implement any changes and those who are affected by the changes are
involved at an early stage. The early involvement of people in the change
process will help reduce resistance to change.

There are several disadvantages of action research:



It is not suitable for organisations operating in a dynamic and complex

environment;

It may not be appropriate to use for solving new, unforeseen problems in

the organisation; and

The effectiveness of the action research method depends on the ability to

obtain accurate data for analysis.

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The techniques and practices of action research help managers unfreeze an

organisation, move it to its new desired state, and refreeze it so that the
change is sustained.

The action research underlies the most current approaches to planned change
and is often considered synonymous with organisation development (OD).

Action research

Change agent

Action research model

Change target

Action-oriented

Cyclical process

Behavioural science expert

Research-oriented

Cummings, T. G., and Worley, C. G. (2005). Organization development and

change (8th ed.). Mason, Ohio: South-Western.
George, J. M., and Jones, G. R. (2005). Understanding and managing organizational
behavior (4th ed.). New Jersey: Prentice Hall.
Rollinson (2005). Organisational behaviour and analysis. Harlow, England:
Prentice Hall Financial Times.