CHARACTERISTICS OF TRANSFORMATIVE LISTENING ENACTED BY

ORGANIZATION DEVELOPMENT PRACTITIONERS

_______________________________
A Research Project
Presented to the Faculty of
The George L. Graziadio
School of Business and Management
Pepperdine University
________________________________
In Partial Fulfillment
of the Requirements for the Degree
Master of Science
in
Organization Development
_______________________________
by
Marco Cassone
August 2014
2014 Marco Cassone
This research project, completed by
MARCO CASSONE
under the guidance of the aculty Committee and appro!ed by its members, has been
submitted to and accepted by the faculty of The "eorge #$ "ra%iadio School of &usiness
and Management in partial fulfillment of the re'uirements for the degree of
MASTER O SC(ENCE
(N OR"AN()AT(ON *E+E#O,MENT
*ate- August ./01
aculty Committee
Committee Chair, 2e!in "ro!es, ,h$ *$
Committee Member, Miriam 3$ #acey, ,h$ *$
#inda #i!ingstone, ,h$ *$, *ean
The "eorge #$ "ra%iadio School of &usiness and
Management
ii
Abstract
This study e4amined the listening beha!iors of organi%ation de!elopment 5O*6
practitioners that result in client transformation$ (nter!ie7s conducted 7ith ele!en O*
consultants 7ith e4tensi!e e4perience in e4ecuti!e coaching pointed to engaged, focused
attention as a core characteristic of their listening$ O* practitioners regularly use three
primary listening approaches 5acti!e, empathetic, and e4pansi!e listening6 to dri!e insight
and help clients transform their perspecti!es$ ,ractitioners subse'uently use t7o
secondary listening approaches 5critical and reducti!e listening6 to anchor insight into
action and help clients transform their beha!ior$ Transformati!e listening describes the
repeating process of in'uiry that blends primary and secondary listening approaches and
tends to transform client perspecti!es and beha!ior$ Con!ersely, transactional listening
describes a listening approach appropriate for the negotiation and e4ecution of
agreements in the transaction of routine business$ Self8a7areness and use of self foster
sensiti!ity to client needs and practitioner agility in blending the listening approaches
used in transformati!e listening$
iii
Acknowledgments
"ratitude and sincere appreciation are e4tended to the follo7ing people-
To my thesis ad!isor, 2e!in "ro!es, ,h$ *$
To the director of the MSO* ,rogram at ,epperdine 9ni!ersity, :ulie Chesley, ,h$ *$,
And to the Associate *ean of the "ra%iadio School of &usiness and Management
At ,epperdine 9ni!ersity, "ary Mangiofico, ,h$ *$
To the esteemed faculty and staff of the MSO* ,rogram at ,epperdine 9ni!ersity-
Ann eyerherm, ,h$ *$, Terri Egan, ,h$ *$, 2ent Rhodes, ,h$ *$, Miriam #acey, ,h$ *$,
Chris ;orley, ,h$ *$, Mary Tabata, and Shany Mahalu
To my thesis coach, 2aren 2oepp, ,h$ *$
To *&, to my #earning "roup, Alchemy, and to our #" consultant, *r$ *ale Ains7orth
To an incomparable collection of mentors and friends-
:eb &ates, :ohn #ed7ith, *eborah Ranier, :ohn *upre, Charlie <athorn, Alison +allenari,
:eanne <artley, ,atricia ,alleschi, ,h$ *$, ,atricia &each, #eonard &ade, and Matt Auron
And to the Omicron ,rime Cohort, MSO* ,rogram, Class of ./01
i!
Table of Contents
#ist of Tables$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
#ist of igures$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
0$ (ntroduction$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Research ,urpose, =uestions, and Setting$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Setting$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
,otential Research "aps to be Addressed$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
,otential Contribution$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Organi%ation of the Study$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
.$ #iterature Re!ie7$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
O!er!ie7 of the #istening #iterature$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
(nformation processing$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
#istening competence$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
,ersonal factors$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
#istening *imensions$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
,assi!e !ersus acti!e$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Critical !ersus empathetic$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Reducti!e !ersus e4pansi!e$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Transaction and Transformation$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Transactional and transformational leadership$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Consulting, transformation, and insight$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Transactional listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
!
Transformati!e listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Self8as8(nstrument$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Summary$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
>$ Methods$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Research *esign$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Sampling and ,articipants$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
*ata Collection$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
*ata Analysis$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Summary$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
1$ Results$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
,articipant *emographics$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Types of #istening 9sed$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Characteristics of #istening Types$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Critical listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Empathetic listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Reducti!e listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
E4pansi!e listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Transactional listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Transformati!e listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
;ays that #istening is Enacted$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Effects of Transformati!e #istening on Consultants, Clients, and Engagements
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Summary$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
!i
?$ *iscussion$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
O!er!ie7 of 2ey indings$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
0$ Acti!e listening as a common orientation$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
.$ Three primary listening approaches$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
>$ T7o secondary listening approaches$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
1$ Transactional listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
?$ Transformati!e listening$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
@$ The role of self as instrument$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
A$ Adapti!e moderation of listening approach$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
B$ Transformation of perspecti!e$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
C$ Transformation of beha!ior$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
(mplications for #istening Theory$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
(mplications for Managers, #eaders, and Organi%ation *e!elopment
,ractitioners$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
#imitations$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
*irections for uture Research$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Summary$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
References$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
Appendi4- (nter!ie7 Script$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$
!ii
List of Tables
!iii
Table ,age
0$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$,articipant *emographics
1>
.$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Types of #istening 9sed
1?
>$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Characteristics of Critical #istening
1B
1$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Characteristics of Empathetic #istening
?/
?$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Characteristics of Reducti!e #istening
?0
@$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Characteristics of E4pansi!e #istening
?.
A$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Characteristics of Transactional #istening
?>
B$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Characteristics of Transformati!e #istening
?1
C$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Actions TaDen *uring #istening
?@
0/$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Outcomes of Transformati!e #istening
?A
00$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$Summary of 2ey indings &y Research =uestion
@0
i4
4
List of Figures
igure ,age
0$ A Model for Transformati!e #earning$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$A?

4i
1
Chapter 1
Introduction
To listen fully means to pay close attention to 7hat is being said beneath the
7ords$ 3ou listen not only to the Emusic,E but to the essence of the person
speaDing$ 3ou listen not only for 7hat someone Dno7s, but for 7hat he or she is$
Ears operate at the speed of sound, 7hich is far slo7er than the speed of light the
eyes taDe in$ "enerati!e listening is the art of de!eloping deeper silences in
yourself, so you can slo7 our mindFs hearing to your earsF natural speed, and hear
beneath the 7ords to their meaning$ 5Senge, 0CC1, p$ >6
The acronym +9CA 7as introduced in the late 0CC/s by the 9$S$ Army ;ar
College to describe !olatile, uncertain, comple4, and ambiguous aspects of the
multilateral 7orld that ha!e de!eloped in the 7aDe of the Cold ;ar 52insinger G ;alch,
./0.6$ Since then, the term has been adopted by business leaders to describe the chaotic,
turbulent, and rapidly changing internal and e4ternal conditions faced by organi%ations on
a daily basis$
#a7ler and ;orley 5./006 identify technology, globali%ation, and 7orDforce as
the three primary agility forces that contribute to the accelerating pace and !olatile nature
of todayHs business en!ironments$ Connecti!ity, digiti%ation, the liberali%ation of trade,
and disrupti!e inno!ation in business models all contribute to the increase in turbulence
and magnitude of change$ This !olatility maDes it difficult for leaders to use past issues
and e!ents as predictors of future outcomes$ <istorically sound solutions may not 7orD
under +9CA conditions 5<orney, ,asmore, G OHShea, ./0/6$ (n the face of such
uncertainty, forecasting can become e4tremely challenging, yet leaders may be pressed to
maDe decisions about dilemmas for 7hich there is no clear solution$
Addressing the greatest challenges that leaders face, :ohn Mc#aughlin, former
*eputy *irector of the Central (ntelligence Agency, stated, I;e get ambiguous,
2
incomplete, imperfect information arri!ing incrementallyJ and youHre being pressured
to actK 5errari, ./0., p$ >A6$ actors contributing to problems are often numerous,
complicated, and interconnected, adding a layer of comple4ity that further confounds
decision maDing$ These combined forces beget a heightened le!el of ambiguity in ho7 to
interpret a reality in constant flu4 5<orney et al$, ./0/6$ +ague, mi4ed meanings of cause8
effect relationships maDe unmanageable the process of accurately conceptuali%ing threats
before they are serious and opportunities before they ha!e passed$
(n the face of such challenging +9CA conditions, the act of listening may be the
most po7erful tool of business leaders and those supporting professionals 7ho help them$
Treasure 5./006 identified listening as the single most important communication beha!ior
people enact$ (t is estimated that appro4imately @/L of our daily communication
in!ol!es listening 5&arDer et al$, 0CB/6M yet, 7e only comprehend about .?L of 7hat 7e
hear 5Nichols G #e7is, 0C?16$ Research has connected listening to leadership
effecti!eness 5:ohnson G &echler, 0CCB6, to indi!idual performance in the 7orDplace, and
to ho7 people judge communicati!e competence 5<aas G Arnold, 0CC?6$ Additional
research sho7s that listening competence also leads to more producti!e interactions,
increased satisfaction in relationships, greater academic and 7orD success, and better
health care pro!ision 5&odie G itch8<auser, ./0/6$ (n short, according to :effrey
(mmelt, Chairman and CEO of "eneral Electric, I#istening may be the single most
under!alued and unde!eloped business sDill, especially in an age of increasing
uncertainty and fast8paced changeK 5errari, ./0., fore7ord6$
*espite the prominent role that listening plays in day8to8day interaction, little
training or education is offered regarding this !ital communication acti!ity 5CoaDley G
;ol!in, 0CCA6$ According to the American Society for Training and *e!elopment, o!er
3
N0// billion is spent each year by 9S businesses and organi%ations to de!elop their
7orDforce and roughly ./L of that sum is dedicated to impro!ing 7orDer communication
sDills$ <o7e!er, only . of the nearly >// communications courses offered by the
American Management Association deal directly 7ith listening sDills 5errari, ./0.6$
;ithout rudimentary Dno7ledge of the different types of listening and their associated
uses, effects, and outputs, oneHs e4perience of this important and highly comple4
communication beha!ior remains collapsed as a simple, homogenous, and one8
dimensional phenomenon$ (t is through a combination of formal study and personal
e4perience that understanding, facility, and sDill in listening are de!eloped$
Research on listening is in a nascent stage of de!elopment$ *ue to its highly
subjecti!e nature, ho7e!er, this ne7 field of study is already a source of disagreement
and consternation among listening scholars$ As a result, the listening literature is
comple4, incongruous, and multidisciplinary, dra7ing from communication, linguistics,
psychology, anthropology, and management 5&odie et al$, .//B6$ "i!en the lacD of
academic consensus and dearth of attention on listening in formal education, there is an
opportunity to e4pand understanding of the subtle distinctions that come 7ith different
Dinds, 'ualities, and calibers of listening$
*espite these limitations, practitioners in the field of organi%ation de!elopment
5O*6 must pro!ide consultati!e support for leaders facing todayHs +9CA business
en!ironment$ #ippitt offers a central definition of the consulting relationship as, IA
!oluntary relationship bet7een a professional helper 5consultant6 and a help8needing
system 5client6, in 7hich the consultant is attempting to gi!e help to the client in the
sol!ing of some current or potential problem and the relationship is percei!ed as
temporary by both parties 5#ippitt, 0C?C, p$ ?6$K (t is incumbent upon those in such
4
helping relationships to understand ho7 listening itself may be an important, causal
antecedent to transformation of the client system$
The need for effecti!e coaching and O* consulting is indicated by the
obser!ations of +ogt, &ro7n, and (saacs, that Ithe rapid pace of our li!es and 7orD
doesnFt often pro!ide us 7ith opportunities to participate in reflecti!e con!ersations in
7hich 7e can e4plore catalytic 'uestions and inno!ati!e possibilities before reaching Dey
decisionsK 5p$ ., .//>6$ (n short, 7hat is often lacDing is taDing time for insight, 7hich
has been defined as the resolution of an impasse or solution of a problem in an
une4pected 7ay, releasing energy and shifting perceptions 5RocD, .//C6$ The insight
e4perience is characteri%ed by a lacD of logical progression to the solution but instead a
sudden IDno7ingK regarding the ans7er$ The solution is simultaneously ob!ious yet
surprising, and it is recogni%ed 7ith confidence 7hen it arri!es 5&o7den, &eeman, lecD,
G 2ounios, .//?6$ Research in neuroscience suggests that insight in!ol!es unconscious
processing, 7hich fits the common e4perience of an Iah8haOK coming une4pectedly from
no7here and 7ithout conscious effort 5RocD, .//C6$
Albert Einstein 7as purported to ha!e made the obser!ation that a problem cannot
be sol!ed from the same consciousness that created it 5,feiffer, 0CBA6$ A central issue for
O* practitioners is percei!ing beneath a presenting problem to help a client shift beyond
the consciousness that created it$ ;hen leaders e4haust their resources in sol!ing
particularly elusi!e or comple4 problems, they turn to e4perts for solutions$ ;ithin the
pur!ie7 of process consultation, a problem8sol!ing conte4t creates a dichotomy for O*
practitioners 7ho seeD not to sol!e problems directly but to help client systems diagnose
and impro!e themsel!es through clinical in'uiry 5#ambrechts, et al$, ./006$
5
Thus, coaches and O* practitioners stri!e to set the conte4t to allo7 leaders to
pause and reflect, thereby accessing insight around ho7 they and their organi%ations may
na!igate dynamic +9CA forces$ An o!erarching proposition of the present in'uiry is that
helping clients to slo7 do7n, to reflect, and to listen in7ardly is one of the most effecti!e
inter!entions for generating client insight in the face of todayHs +9CA business
en!ironments$
Research Purpose, Questions, and Setting
The purpose of this thesis 7as to e4plore the potential connection bet7een
listening and client transformation 7ithin the conte4t of the client8consultant helping
relationship$ The main research 'uestion is- I;hat are the characteristics of the listening
enacted by organi%ation de!elopment practitioners 7hile engaged in consultingPK The
follo7ing three research sub8'uestions 7ere also identified-
0$ ;hat types of listening are used and 7hat are their characteristicsP
.$ (n 7hat 7ays is listening enactedP
>$ ;hat are the effects of transformati!e listening on consultants and clientsP
indings from the literature on counseling and support ha!e portrayed listening as
a dyadic mechanism that differs from other types of listening 5:ones, ./006$ rom this
perspecti!e, attention and emotional in!ol!ement of an intimate nature are re'uired of the
listener in order to pro!ide beneficial support$ Similarly, the current study targets more
intimate Dinds of O* engagement, such as e4ecuti!e coaching and one8on8one or small
systems engagements$
Setting
This research project gathered data from O* practitioners 7ith at least ten years
e4perience in such engagement conte4ts$ Con!entional !ie7s of consultants include
6
anyone 7ho gi!es ad!ice, mentoring, or counsel in an area of speciali%ed e4pertise$
Schein 50CCC6 distinguishes the roles, responsibilities, and inherent philosophical
approaches of O* consultation from those in the more con!entional e4pert and doctor8
patient models$ According to Schein, the process consultant is ne!er more of an e4pert on
the client system than is the client themsel!es$ They do not simply offer solutions to
problems, as is more common and appropriate for the doctor8patient model$ A third
mechanic model 52ahn7eiler, .//.6 may appeal to senior e4ecuti!es and line managers
7ith constricted time in the face of +9CA intensity$ This model is distinguished by
acti!ely chosen ignorance, a lacD of participation in diagnosis, and a subse'uent lacD of
responsibility in solution$ *istinct from these more con!entional approaches to helping
relationships, Schein defines process consultation as Ithe creation of a relationship that
permits the client to percei!e, understand, and act on the process e!ents that occur in Qhis
or herR internal and e4ternal en!ironment in order to impro!e the situation as defined by
the clientK 5p$ ./, 0CCC6$
rom ScheinHs perspecti!e, potential for change is accessed through dialogic
interaction, in 7hich consultants help clients to reconstruct, redefine, or reframe reality$ (t
is the shift in client perspecti!e that affords alternati!e solutions that had not been
formerly percei!ed or possible$ #istening is a critical component of this dialogic
interaction$ According to ;ienmann 50CAA6, listening and listening8related abilities such
as understanding, open8mindedness, and supporti!eness constitute the single dimension
upon 7hich people maDe judgments about communication competence$ O* practitioners
must Dno7 7hen to bring empathy into their listening to ha!e clients feel emotionally
!alidated in their e4perience$ (n the course of client engagement, practitioners must be
able to distinguish 7hen to listen 7ith an e4pansi!e orientation to help generate
7
possibility, and 7hen to be reducti!e in approach to mo!e into e4ecution and action$
Research has suggested, ho7e!er, that support pro!iders ha!e a tendency to collude 7ith
those they support by jumping to sol!e problems rather than practicing supporti!e
listening beha!iors 5,errine, 0CC>6$ This may be a contributing factor to the general
tendency for many to prefer the help of informal caregi!ers to formal helpers 5&arDer G
,istrang, .//.6$
Potential Research Gaps to be Addressed
To identify the gaps the current study hopes to address, it is important to assess
the limitations of the e4isting research on listening$ The listening literature can be broDen
do7n into the three o!erarching approaches that scholars ha!e used to understand
listening 5&odie, et al$, .//B6$ Early information processing tended to produce research
7ith a narro7 focus due to its underlying simplification of listening as a linear
phenomenon$ The ensuing research trend in listening competency did capture more of the
comple4 nature of human interaction, ho7e!er this approach made e!ident the effect that
conte4tual and relational factors ha!e on the perception of Icompetence$K This inherent
subjecti!ity in turn spa7ned the third major research trend e4ploring ho7 personal
factors affect listening$ A common problem across the field has been generali%ability, in
that isolating conte4tual factors or IsingleK personal differences does not necessarily
produce findings that are rele!ant beyond research settings$
;ith a multitude of disciplines ad!ocating di!erse perspecti!es, theoretical
frame7orDs, and inconsistent definitions, this relati!ely ne7 area of scientific in'uiry is a
hotbed of academic contro!ersy$ urthermore, the general lacD of agreement on
methodological approach across the field maDes it difficult to compare study outcomes or
dra7 confident conclusions$ These may be contributing factors to the lacD of formal
8
education a!ailable on listening 5CoaDley G ;ol!in, 0CCA6$ As late as the mid80CC/s, less
than .L of articles in business journals dealt 7ith listening effecti!eness despite
agreement bet7een academics and business practitioners that listening is one of the most
important sDills for an effecti!e professional 5Smelt%er, 0CC>6$ There is clearly a need for
further empirical contribution that may help integrate and mature this de!eloping area of
scientific study$ ;here preceding empirical approaches ha!e attempted to unco!er
listening truths by testing hypotheses in controlled settings, a potential gap in the research
may be an inducti!e approach that e4plores the e4perience and perceptions of 7orDing
professionals for 7hom listening is a critical part of their practice$ The current research
project attempts to !ie7 the academic landscape of the listening literature from the
perspecti!e of !eteran O* practitioners 7ho can speaD to the fundamental role listening
plays in the conte4t of client8consultant engagement$
Potential Contribution
The current study has the potential to contribute on multiple le!els$ Three
listening dimensions from the literature 7ere e4plored to e4amine their application and
rele!ance to small systems engagements$ *ata also 7ere gathered regarding the types of
listening practitioners enacted to achie!e certain outcomes$ ,ractitioners also speaD to the
potential distinction bet7een the listening broadly used in the transaction of day8to8day
business and the specific listening used by O* practitioners that is percei!ed as
transformati!e in nature$ According to author and senior partner at 2ornSerry
(nternational, 2e!in Cashman, IThe greater the comple4ity, the deeper the reflecti!e
pause re'uired to con!ert the comple4 and ambiguous to the clear and meaningful$ ,ause
helps us to mo!e from the transacti!e or the hyperacti!e to the transformati!eK 5p$ .@,
./0.6$ &orro7ing from the seminal 7orD of &urns 50CAB6 on transactional and
9
transformational leadership styles, transactional listening and transformati!e listening are
e4plored as potentially useful descriptors to distinguish O* practitioner listening from
the default listening of e!eryday business$
As <anson and #ubin 50CC?6 suggest, the 7orD of O* practitioners has
similarities to that of leaders and managers, from administrati!e roles to 7orD in the
promotion of learning, de!elopment, team7orD, problem sol!ing, and more$
Iundamental to their 7orD are their sDills and competencies as social change agentsK 5p$
BA6$ O* practitioners and leaders may benefit from refined distinction of different
listening approaches and their potential effects$ The research may e!oDe ne7 perspecti!es
connecting listening intentionality 7ith insight and change readiness$ &ringing systematic
in'uiry and attention to the role listening plays in client transformation may offer
participants the opportunity to dra7 connections they may not ha!e pre!iously made$
More importantly, increased effecti!eness in transactional and transformati!e
listening may help leaders in supporting their organi%ations to na!igate change$ ;ithin
the last decade, empirical research conducted by &ro7nell 50CC16 indicated that listening
is percei!ed as increasingly critical to managerial effecti!eness, especially 7ith
ad!ancement to more senior leadership positions$ The majority of routine, day8to8day
operation in a stable business en!ironment can be accomplished 7ith critical and
reducti!e listening at the le!el of transactional e4change$ #eaders may not reali%e,
ho7e!er, that staying at a transactional le!el of communication may not be effecti!e in
helping people face the uncertainty and discomfort of unstable, changing en!ironments$
Transformati!e listening may help leaders be more impactful as change agents
themsel!es, effecti!ely fulfilling on the organi%ational changes they hope to achie!e$
10
Organization of the Study
Chapter 0 introduces ho7 the field of organi%ation de!elopment pro!ides support
for todayHs leaders facing the +9CA business en!ironment$ :oint diagnosis and client
insight are connected to process consultation and helping relationships in e4ecuti!e
coaching and small systems engagements$ The importance of listening rele!ant to
business conte4ts is portrayed 7ith a re!ie7 of the gaps in the current listening literature$
The central research 'uestions of the study are presented, accompanied by the potential
benefit and contributions of the in!estigation$
Chapter . pro!ides a re!ie7 of the listening literature, including information
processing, listening competence, and listening dimensions$ A theoretical frame7orD is
borro7ed from the literature on leadership styles in order to introduce transactional and
transformati!e listening as areas of in!estigation for the present study$ Related content
areas include insight, transformation, and practitioner sDill in use of self$
Chapter > describes the study methodology of the in!estigation, including the
research design, sampling and participants, listening definitions used in the study, and
data collection and analysis$
Chapter 1 presents the results of the data collection and analysis, describing
participant demographics, the types of listening used, and their characteristics$ Results are
presented and organi%ed in conjunction 7ith the studyHs core research 'uestions$
Chapter ? is a discussion and analysis of results, presenting nine Dey findings of
the research$ A model for transformati!e listening is presented 7ith implications for
listening theory$ The chapter closes 7ith recommendations for practitioners and leaders,
study limitations, and proposed directions for future research$
11
Chapter 2
Literature Review
This chapter pro!ides a re!ie7 of theory and research to pro!ide a foundation for
the in!estigation$ An o!er!ie7 of literature on listening is presented first$ "i!en the
di!ersity of listening research, focus is gi!en to the listening more rele!ant to helping
relationships$ ,ractitioner use of self is defined$ A theoretical frame7orD borro7ed from
the literature on leadership styles is e4plored for implications on listening$
Overview of the Listening Literature
A re!ie7 of the literature largely trisects empirical research on listening into three
general categories and the respecti!e ad!ances made in each$ ;ithin the last half century,
listening 7as first e4plored as information processing, follo7ed by a trend e4ploring
general listening competence$ Additional potential influences on listening, such as
personal biases and factors, 7ere then in!estigated 5&odie et al$, .//B6$ (n this relati!ely
ne7 field of study, agreement on the subjecti!e phenomenon of listening has not come
easily$ Consensus in the literature has been as elusi!e to achie!e as listening itself has
been to define, 7ith only occasional pocDets of accord depending on theoretical approach
or school of thought$ To the degree they ser!e the research 'uestions e4plored in this
thesis, elements of these three major categories of in!estigation 7ill be presented$
Information processing$ As one of the three major categories of empirical
research on listening, models for human information processing 7ere first introduced
more than a half century ago by &roadbent 50C?B6$ ;ithin this frame7orD, most models
attempted the systematic study of information retention through at least three stages 7ith
minor !ariation- perception, response processing, and response selection 5:ohnson G
,roctor, .//16$ ,sychological research on listening conducted in the middle of last
12
century generally focused on signal detection or 7ordSpattern recognition, ho7e!er these
made the underlying assumption of information as some7hat constant, homogenous, and
independent of the perception and meaning ascribed by the recei!er 5&odie et al$, .//B6$
The seminal 7orD of ;ol!in and CoaDley 50CC@6 e4plains listening as generally
in!ol!ing the process of recei!ing, attending to, and assigning meaning to aural and
!isual stimuli$ Their no7 7idely8accepted model depicts a listening response that is
prompted by an initial stimulus once the stimulus has been filtered through the follo7ing
three layers- 506 recei!ing !erbal messages and non!erbal cues, 5.6 gi!ing focused
attention 5engaged effort and desire6 to these messages and cues, and 5>6 assigning
meaning to messages and cues, as interpreted through intellectualSemotional processes,
cultural conte4ts, and personal attributes$ A limitation to thinDing of humans as comple4
information processors 7as the narro7 focus of research, 7hich concentrated on the
nature of these stages, the processing time used in each stage, and the nature of memory
as an integrati!e function that enables storage and retrie!al 5Massaro, 0CBA6$
,erhaps a greater limitation of this perspecti!e is the underlying assumption that
communication is a linear phenomenon that can be understood by measuring information
degradation$ ;here a nonlinear model can account for comple4 beha!ioral interaction
bet7een multiple indi!iduals, a fi4ed, linear !ie7 of listening gi!es indirect priority to
the message sent o!er the message recei!ed 5Schramm, 0C?16$ This school of thought
ultimately simplified listening to the ac'uisition of information 5&ostrom, 0CC/6$ As
pre!iously noted, this approach may describe passi!e retention of instruction or direction,
but findings are not easily e4trapolated to the more interacti!e nature of con!ersational
listening in e!eryday life$ (n this regard, information processing as the first major
category of the listening literature only describes part of the picture, lea!ing much
13
underde!eloped and underappreciated 7hen it comes to the truly multidimensional nature
of listening$
Listening competence$ The history of the listening literature depicts a second
major research trend that emerged in the 0CA/s as empirical study began to address
listening competence and effecti!eness$ "i!en their initial focus on o!ert beha!iors, early
competency models !ie7ed competence as the appropriate use of listening beha!iors to
accomplish communication goals for a gi!en situation 5;iemann, 0CAB6$ ;ithin the same
decade, the first clear distinction 7as also introduced bet7een listening competence and
listening comprehension, 7hen :ones and Mohr 50CA@6 and ,earce 50CA06 began
e4ploring the effects of non!erbal beha!iors on attention, perception, and meaning$
eytenHs 50CC06 important empirical contributions depicted ho7 shared meaning is
constructed through many Dinds of contemporaneous speaDer8listener interaction,
including linguistics 5spoDen 7ord6, paralinguistics 5such as tone of !oice, intonation,
and pitch6, and non!erbal Dinesics 5body language6$
&uilding on ;iemanns 50CAB6 model, Spit%berg and Cupach 50CB16 refined
listening competency to the more 7idely8accepted definition- the impression of speaDer
and listener as to the appropriateness and effecti!eness of communication beha!iors for a
gi!en conte4t$ Addressing listening competency in organi%ational settings, a study by
Cooper 50CCA6 suggested that 7orDers better understand the content of communication
7hen it adheres to acceptable con!ersational norms and rules 5appropriateness6, as 7ell
as 7hen it satisfies the needs, desires, and intentions of the interaction 5effecti!eness6$
Restated, listening competency displays adaptation to situations in order to accomplish
directed outcomes through communication 5Cooley G Roach, 0CB16$
14
The largely beha!ioral and more intuiti!e approach of &ro7nell 5.//.6 has also
been 7ell recei!ed by scholars$ The <898R8(8E8R model uses si4 basic components of
effecti!e listening to describe the process of ascribing meaning to a message recei!ed-
<earing, 7ith specific focus on the messageM
9nderstanding, to deri!e a literal message or meaningM
Remembering, as capacity for recall of the messageM
(nterpreting, 7ith caution against adding IspinK to the messageM
E!aluating, applying logic 7ith an open mind to assess message !alueM
Responding, depicting the !erbal messages andSor non!erbal cues to imply
participation in communication$
O!erall, the body of research on listening competence re!ealed the potential
impact of relationships on perceptions of listening competence$ More importantly, the
'uestion emerged of 7ho it is that should be rating listening 7hen the elements
construing competence are predominantly perceptual, conte4tual, and functional
5&entley, 0CCA6$ A core problem 7ith this second major category of listening research is
that if the subjecti!e judgment of appropriateness and effecti!eness in beha!ior is
primarily dependent on a particular relationship in a particular conte4t, then research
findings may lacD generali%ability beyond the confines of immediate research settings$
Personal factors$ The third major category of empirical study on listening
reflected gro7ing a7areness of the impact of personal factors on this highly subjecti!e
communication beha!ior$ Much of this leg of the literature e4amined ho7 personality
differences may predisposed indi!iduals to listen in certain 7ays 5*aly, 0CBA6$ The
research teams of ;atson and &arDer 50CC.6 and ;atson, &arDer, and ;ea!er 50CC?6
offered an alternati!e perspecti!e on indi!idual differences using listening style
15
preferences$ Their findings suggest that people may ha!e habituated preferences for
listening that are oriented to action, time, people, or content$ This contribution to the field
spa7ned much subse'uent in!estigation to identify other preconditions and relational
factors that might affect these listening preferences, such as empathy and con!ersational
sensiti!ity 5Chesebro, 0CCC6$ (n the conte4t of relational listening, empathy has been
e4amined for its central role in building relationships 7ith others$ ;ea!er and 2irtley
50CC?6 connected elements of empathy 5such as empathetic and sympathetic
responsi!eness6 to the ability to decode and interpret communication 7ith greater
sensiti!ity$ Specifically rele!ant to helping relationships, these findings suggest that in
some 7ay, emotional attunement and empathy may hone oneHs ability to listen$
This body of literature fostered an appreciation for the crucial role that human
emotional connection plays in the e4perience of listening$ (n their summary of the state of
listening theory, &odie et al$ 5.//B6 ga!e a comprehensi!e re!ie7 of the myriad personal
differences, predispositions, and situational attributes that ha!e been sho7n to effect
listening$ Se!eral 7eaDnesses of this body of literature stand out$ "i!en the subjecti!e
nature of the subject matter, the general lacD of agreement on methodological approach
maDes it difficult to compare study outcomes$ urthermore, as &odie et al$ point out, a
majority of studies e4amined personality characteristics in isolation$ (t is unclear 7hether
isolating any single indi!idual difference re!eals anything about the comple4 and
multifaceted nature of human interaction$
Listening Dimensions
Relationships bet7een different types of listening can be portrayed through the
use of listening dimensions or continuums$ :ulian Treasure, a leading e4pert in sound
consultation to clients such as &AA, &,, NoDia, and Coca Cola, has identified three
16
listening dimensions 7hich offer a conceptual frame7orD for the present in!estigation-
5a6 passi!e !ersus acti!e listening, 5b6 critical !ersus empathetic listening, and 5c6
reducti!e !ersus e4pansi!e listening 5./006$ Each dimension 7ill be e4plored to
understand ho7 listening may relate to helping relationships$
Passive versus active$ The passi!e !ersus acti!e listening dimension describes
the le!el of engaged, focused attention present or absent in listening$ The follo7ing
sections e4amine both ends of this spectrum in detail$ ,assi!e listening is portrayed as a
conscious process de!oid of interaction, commentary, or e!aluation 5Treasure, ./006$
Although often used interchangeably, listening is not to be confused 7ith the less
conscious process of hearing sound$ According to a re!ie7 by ,urdy 5.//B6, research in
the late 0C@/s indicated that proficiency in hearing, 7hich is a physiological process, is
largely unrelated to sDill in listening, 7hich is fundamentally a psychological act$
E4amples of passi!e listening include appreciati!e listening for enjoyment, such
as to music, poetry, performances, or ambient sound beyond engaged concentration
5,urdy, .//B6$ To some perspecti!es, the !alue of passi!e listening is the temporary breaD
it offers the conscious mind from its habitual and incessant narrati!e of thoughts, self8
criticisms, projections, and judgments 52abat8)inn, 0CC16$ Other perspecti!es, ho7e!er,
use the term passi!e to describe transactional listening- e4changes of information, 7here
interaction and co8creation of meaning do not occur, such as 7hen listening to lectures or
reports, or 7hen taDing instruction or direction 5(mhof, 0CCB6$ Related to the history of
listening literature, passi!ity has also been predominately associated 7ith the recei!ing
side of communication, as e4plored in early empirical research on information
processing$
17
Acti!e listening indicates an ability and 7illingness to focus attention$ Attention is
crucial in acti!e listening and has been defined as a mental state in!ol!ing intense
!oluntary direction and concentration of consciousness upon a person or object 5arro7,
0C@>6$ Acti!e listening is a deliberate process demanding constant mental effort-
(t re'uires us to be highly present and to get in!ol!edM as recei!er, our mind
continually monitors all aspects of the listening process- the state and effects of
our o7n perspecti!es and filtersM all the possible intended meanings and
implications of the contentM the conte4t of the soundM both parties physical and
mental stateM the senders bacDground and the non!erbal communication they are
using$ 5Treasure, ./00, p$ @@6
rom a broader perspecti!e, acti!e listening of this nature implies intentionality,
self monitoring or self a7areness, and acti!e participation on multiple le!els$ A more
narro7 application of acti!e listening is the classic communication techni'ue 5also
Dno7n as reflecti!e listening6 used 7idely in counseling, training, and conflict resolution$
(n these conte4ts, listening effecti!eness in!ol!es reflecting bacD client communication
free of coloring or judgment$ This greatly reduces communication errors, challenges
preconcei!ed assumptions, and creates common ground 5,urdy, .//B6$
&asic listening competence, as pre!iously described by Spit%berg and Cupach
50CB16, is defined as using appropriate and effecti!e communication beha!iors for the
gi!en conte4t$ As noted, passi!e listening is percei!ed as appropriate for settings in 7hich
information ac'uisition is the intended outcome$ To understand perceptions of listener
effecti!eness beyond this limited application, CoaDley et al$ 50CC@6 in!estigated
staDeholder and manager e4pectations around listening practices$ The research team
de!eloped a ta4onomy of ./ 'ualities of effecti!e listeners in order to help indi!iduals
understand 7hat is re'uired of the role of an effecti!e listener in 7orDplace settings$
Research findings re!ealed perceptions that effecti!e listeners sho7 engaged, focused
18
attention and display beha!ior that acDno7ledges message receipt, understanding, and the
relationship bet7een speaDer and listener$ The di!ersity of day8to8day communicati!e
transactions re'uires !arying le!els of focused attention, for 7hich both passi!e and
acti!e approaches can be percei!ed as appropriate depending on conte4t$
Critical versus empathetic$ The critical !ersus empathetic listening dimension
addresses ho7 message !alue is deri!ed from judgment 5Treasure, ./006. (n critical
listening, judgment allo7s the listener to compare and determine the !alue, 'uality, and
!alidity of informational transactions 5;ol!in G CoaDley, 0CC@6$ The sDills for critical
listening are built upon 7hat is Dno7n as appreciati!e listening, in that the act of
appreciation results in increased a7areness, refined le!el of discernment, and greater
capacity for impartial e!aluation 5,urdy, .//B6$ As a part of effecti!e, day8to8day
communication, critical listening in!ol!es the continuous application of conscious filters
to information recei!ed in order to discern merit$ (nformation that matches these filters is
retained and anything does not contribute to the structure, discipline, and clarity of a
discussion is discarded 5Treasure, ./006$
#istening is fundamentally a process of e4traction$ Consciously or not, 7e focus
on part of the recei!ed information thereby e4cluding 7hate!er is irrele!ant$ Central to
all listening, but in particular to critical listening is the reticular acti!ating system 5RAS6,
an automatic listening function collo'uially referred to as ones editorial department
5Treasure, ./006$ This psychoacoustic system incorporates t7o techni'ues to filter
incoming sound- pattern recognition and differencing$ &orro7ing from con!entional
understanding of ,a!lo!s dogs, 7e learn to linD auditory patterns 7ith a range of
appropriate and often unconscious responses, including emotional, mental, and
physiological reactions$ E'ually crucial to sur!i!al is the process of differencing, 7hich
19
continuously scans the sonic hori%on for changes in patterns that may indicate potential
threat$ (n addition to these automatic processes occurring at the le!el of sensory input,
many other filters ha!e been identified for their potential impact on listening, including
culture, language, !alues, beliefs, attitudes, e4pectations, and intention 5Treasure, ./006$
,ortrayed as the opposite of a critical listening orientation is empathetic listening$
Empathy in!ol!es identifying 7ith another person on an intuiti!e, emotional le!el, or
perhaps more simply, one feels 7ith and for that person 5<obart and ahlberg, 0C@?, p$
?C@6$ ,sychologist Carl Rogers 50C@06 coined the term empathetic listening to describe a
deeply engaged acti!e listening, 7hich abandons assumptions and egocentric
perspecti!es$ Also Dno7n as supporti!e listening, this listening approach is free of
judgment and used 7ith the intention of creating emotional understanding bet7een
communication partners$ The objecti!e of empathetic listening is to ha!e ones
communication partner feel emotionally understood$ According to Treasure 5./006,
empathetic listening in!ol!es a connection 7here the listener gi!es bacD something, in
the form of caring, support, identification through sharing his or her o7n personal
e4perience or perceptions$ (t re'uires 5and builds6 trust, understanding and loyalty
but it also in!ol!es some !ulnerability, risD and commitment$ Terms such as empathetic,
supporti!e, therapeutic, and others help distinguish these specific listening practices from
the default listening used in e!eryday life$
(n his dissertation on the listening practices of leaders, OricD 5.//.6 suggests that
leaders hone the capacity to listen 7ith an open mind 7ithout becoming emotional or
defensi!e$ This Dind of person8centered listening is e4tremely rele!ant in organi%ational
settings, especially in demonstrating care in relationships$ Applications of this approach
fall under the domain of human relations and general management and are useful for
20
moti!ation, appraisal, correction, personal issues, conflict management, and disciplinary
circumstances$
our characteristics of empathetic listeners identified by ,icDering 50CB@6 portray
ho7 empathetic listening helps to strengthen and build relationships-
*esire to be other8directed, a!oiding projection of oneHs o7n thoughts and
feelings onto anotherM
*esire to be non8defensi!e and focused on another, rather than focusing on
protection of oneHs selfM
*esire to imagine the roles, perspecti!es, or e4periences of another instead of
assuming they are similar to oneHs o7nM
*esire to listen unconditionally to understand another rather than trying to
reach agreement or to change the other person$
The connection bet7een empathetic listening and client transformation comes
from the literature on therapeutic support$ According to :ones 5./006, supporti!e listening
is Ea central dyadic mechanism of pro!iding, percei!ing, and recei!ing beneficial
emotional support. Similar to empathetic listening, this approach demands the high
focus of attention indicati!e of an acti!e, not passi!e listening orientation$ As :ones
elaborates, it re'uires that the support listener demonstrate emotional in!ol!ement and
attunement 7hile attending to, interpreting, and responding to the emotions of the support
seeDer 5p$ B@6$ +eteran practitioners liDe Schein clearly ad!ocate the importance of
empathy in leadership- The ability to empathi%e, learning to see and e4perience the
7orld through someone elses eyes and to establish relationships across boundaries, is a
crucial ability for e!eryone in a leading function 5#ambrechts et al$, ./00, p$ 0>C6$
Supporti!e listening helps a seeDer to cope beneficially 7ith e!ents that are
appraised as difficult or potentially threatening$ Research has substantiated the effects of
personal emotional states on cogniti!e processing- increased stress may reduce a!ailable
21
cogniti!e resources, 7hich can result in decreased comprehension of feedbacD 5"addis et
al$, .//16$ ;hen the e4periences of a support seeDer are deeply listened to and e4plicitly
acDno7ledged, a7areness of and adaptation to the subjecti!e, affecti!e, and relational
reality is sho7n in relation to the difficult or potentially threatening e!ent 5&urleson,
0CBA, p$ >/?6$ This !alidation and integration allo7s for cogniti!e reappraisal, affecti!e
impro!ement, and the potential of a shift in perspecti!e 5:ones G ;irt%, .//@6$ (n the
conte4t of helping relationships, the process of cogniti!e reappraisal, a shift in
perspecti!e, and a subse'uent opening for possibility are all set in motion by being
deeply listened to 7ith emotional attunement and empathy$
Reductive versus expansive$ A third listening dimension depicts the degree to
7hich solution, action, and closure are prioriti%ed or not$ According to Treasure 5./006,
Reducti!e listening usually has a specific goal in mind$ (t is trying to arri!e at a defined
destination$ Qsuch asR listening for the point, 7hich is either something to contribute,
or more often something to do to sol!e a problem 5p$ A.6$ or this Dind of listening,
incoming information is judged for its immediate usefulness in achie!ing goals$ The
efficiency associated 7ith reducti!e listening precludes e4ploring ne7 ideas and
irrele!ant information is discarded$ (n his most recent publication on <umble (n'uiry,
Schein 5./0>6, points to the common e4pectation for this default listening position in
7orDplace conte4ts-
;hen 7e are listening to someone and dont see 7here it is going, 7e say, So
7hat is your pointP ;e e4pect con!ersations to reach some Dind of conclusion$ $ $
$ ;hen 7e listen, 7e 7ant to feel that it 7as 7orth7hile to listen$ (t is frustrating
to ha!e someone tell us something that 7e cannot use or that is boring$ ;hat 7e
7ant to be told and 7hat 7e choose to tell ha!e to be usefulthey need to be in
conte4t and they need to be rele!ant$ 5pp$ @/8@06
22
The solution8dri!en nature of reducti!e listening maDes it a po7erful and effecti!e
tool, especially in communication e4changes 7here outcome is more important than
relationship$ As Treasure 5./006 suggests, reducti!e listening produces a sense of
satisfaction 7hen targeted communication achie!es an intended outcome or solution$ (ts
efficiency, ho7e!er, can often lea!e people feeling unheard, unacDno7ledged, and
under!alued$
Critical, reducti!e listening 57hich features a combination of critical listening,
discussed earlier, and reducti!e listening6 efficiently discerns purpose and rele!ance
through continuous processes of e4traction and !erification- $7hat listeners actually
do is continuously !erify aural stimuli as they are attending to it, and constantly assign
and reassign meaning to the aural stimuli$ This process appears central to 7hat 7e call
listening because of its apparent relationship to ho7 humans learn 5Sch7art%, p$ ?/,
./0.6$ Rele!ant to organi%ational settings, management consultant ,eter *rucDer
described information as data endo7ed 7ith purpose and rele!ance 5Sch7art%, ./0.6$ (n
a critical8reducti!e listening orientation, incoming information is compared against
e4isting schema and past e4perience, reinforcing automatic filters and confirming our
e4perience of reality$ rom the perspecti!e of neuroscience, The connections 7e ha!e,
our o7n mental maps, can strongly influence the reality 7e see, often more than the
inputs themsel!es 5RocD G Sch7art%, .//@6$
The rigidity of a critical8reducti!e listening approach can at times result in
impasse$ Schooler, Ohlsson, and &rooDs 50CC>6 e4plain that it is common to apply
strategies that 7orDed in prior e4periences to ne7 problems and situations$ Neuroscience
suggests that focusing on the solutions actually creates solutions, 7hile focusing on the
23
problems can deepen those problems in our thinDing 5RocD G Sch7art%, .//@6$
Reapplication of incorrect strategy becomes a source of cogniti!e impasse itself-
The projection of prior e4perience has to be acti!ely suppressed and inhibited$
This is surprising, as 7e tend to thinD that inhibition is a bad thing, that it 7ill
lo7er your creati!ity$ &ut as long as your prior approach is most dominant, has
the highest le!el of acti!ation, you 7ill get more refined !ariations of the same
approach, but nothing genuinely ne7 comes to the fore$ 5Schooler, Ohlsson, G
&rooDs, 0CC>, p$ 0@@$6
,ortrayed as the opposite of a reducti!e listening orientation is e4pansi!e
listening$ According to Treasure 5./006, this listening approach !alues curiosity,
disco!ery, and the emergent journey itself of the con!ersation$ (t is dri!en by ideas and
insight, not agendas$ ;here reducti!e listening seeDs closure, e4pansi!e listening in!ites
e4ploration and di!ergent thinDing, such as in brainstorming sessions$ Although its
often repressed, e4pansi!e listening is just as !aluable in business$ (ts 7here flo7
originates, and 7here creati!e ideas come from, e4plains Treasure 5p$ A16$ ostering
insight and ideation, e4pansi!e listening offers the best access to intuition and to
inspiration for problem8sol!ers$K
These si4 listening approaches presented in the literature can be e4plored as single
orientations or as opposites of listening dimensions$ (t is 7orth pointing out the potential
impact of distinctions in listening$ A listening descriptor may change the feel and 'uality
of the listening, 7hat gets retained !ersus filtered out, listener intentionality, and perhaps
most importantly, the e4perience of the communication partner$
A part of this research project is the e4ploration of the potential usefulness of t7o
ne7 types of listening- transactional listening and transformati!e or transformational
listening$ Neither has recei!ed more than cursory reference in the literature, and there is
no presently Dno7n research that e4plores the application of these types of listening to
24
the uni'ue population and conte4t chosen for the present study$ Conceptually,
transactional and transformati!e listening may not fall to either side of a continuum as
clearly as do other types of listening$ They may be useful in portraying the role listening
plays in client transformation$ They may also help us distinguish practitioner listening
from the default listening used in the routine transaction of e!eryday business$ The ne4t
section re!ie7s literature in support of these types of listening$
Transaction and Transformation
Rele!ant to the broader field of organi%ation de!elopment, the terms transactional
and transformational ha!e been primarily used in the domain of leadership styles, 7hich
are addressed in the ne4t section$ (n business and organi%ational conte4ts, transformation
is con!entionally !ie7ed as a process of profound and radical change that orients an
indi!idual or organi%ation in a ne7 direction at a higher le!el of effecti!eness and often
7ith a fundamental change of character$ Transaction, on the other hand, typically
identifies an e4change, such as the trading of goods, ser!ices, or money in traditional
business settings$ Applied to human beha!ior and interaction, &lauHs seminal social
e4change theory 50C@16 described the transactional nature of beha!ior modification
through the negotiation of re7ard or punishment$ Central in a transactional relationship is
some form of agreement and e4change, 7here !oluntary indi!idual beha!ior is moti!ated
by psychological or economic re7ard from others$
Transactional and transformational leadership$ Transactional models see the
leader8follo7er relationship as a series of e4changes based on, for e4ample, performance
e4pectations and psychological, political, or economic benefit 5&ass, 0CB?6$ This
leadership style does not seeD to establish an enduring, purpose8dri!en relationship as
much as one focusing on control of subordinate beha!ior through compensation methods,
25
contingent re7ard, and management by e4ception 5A!olio G &ass, .//1M &ass G A!olio,
0CC/6$ Transactional styles of leadership clarify employee roles, e4pectations, and goals
in an efficient and risD8free manner by rarely 5if at all6 including subordinates in decision8
maDing processes or the e4ploration of their o7n creati!e solutions 5,atiar G Mia, .//C6$
(n transactional e4changes, leaders and subordinates transact commitments based on
compensation$ This may limit sense of o7nership and personal gro7th in employees,
7hich in turn may limit gro7th of the organi%ation$
;here the aim of transactional e4change is efficient and effecti!e beha!ior
modification through re7ardSpunishment, transformational interaction seeDs to create the
conditions that foster internali%ed employee choice to align 7ith leaders in achie!ing
organi%ational goals$ (n appealing to a strong, positi!e, and meaningful !ision of the
future, transformational leaders enable follo7ers to challenge themsel!es, to reflect on
circumstances, and to taDe action in ne7 7ays, often acting beyond the status 'uo of
transactional performance e4pectations$ The literature indicates that 7hile both
transactional and transformational leaders proacti!ely inter!ene to sol!e problems,
transformational leaders o!erall may be more effecti!e than transactional leaders 5&ass G
&ass, .//B6$
Early in the literature, a transformational style of leadership 7as characteri%ed by
a relationship that is moti!ational to both leader and follo7er in the conte4t of
organi%ational transformation 5*o7nton, 0CA>6$ Transformational leaders inspire the
loyalty, respect, and trust of subordinates by acti!ating higher moti!e de!elopment and
appealing to an inspired !ision of the future 5&ass, 0CB?6$ Employees are mo!ed to act in
7ays that contribute to this shared !ision and often perform beyond the e4pectations set
in other7ise transactional e4changes$ Transformational leadership builds on a
26
transactional base, adding charismatic beha!iors such as moti!ating and inspiring
follo7ers, engaging cogniti!e stimulation, and sho7ing care for indi!idual employee
needs and de!elopment 5A!lio, 0CCCM &ass, 0CB?6$
Consulting, transformation, and insight. The client8consultant relationship has
been defined as a !oluntary and temporary engagement bet7een a professional helper
5consultant6 and a help8needing system 5client6 7ith the end goal of supporting a client
system to impro!e itself 5#ippitt, 0C?C6$ (nherent in this definition is the dichotomy that
the client8consultant helping relationship is by nature simultaneously transactional and
transformati!e- O* practitioners negotiate a temporary transaction to enter and transform
a client system to a ne7, higher le!el of effecti!eness$ 3et, by its !ery nature, the client8
consultant relationship is a departure from normal, routine operations$ As a helping
relationship, its aim typically is to enhance clarity, performance, and effecti!eness,
among other objecti!es 5Cummings G ;orley, ./016$ (n other 7ords, clients may often
seeD consultants 7hen transformation, or profound and radical change, is needed$
#e!itt et al$ 5.//16 and Miller 5.///6 ha!e suggested that connections e4ist
bet7een change, transformation, and insight$ Connecting insight to helping relationships,
a N39 research team used functional Magnetic Resonance (maging 5fMR(6 to obser!e
the mental function of clients during e4ecuti!e coaching sessions and confirmed that
$a central feature of effecti!e coaching is the appearance of some Dind of insight by
the client 5RocD G Sch7art%, .//@6$
RocD 5.//@6 defined insight as the resolution of an impasse or solution of a
problem in an une4pected 7ay, releasing energy and shifting perceptions$ RocD and
Sch7art% 5.//@6 e4plained, ;hen 7e ha!e an illumination e4perience 7e are creating a
super8map 5of other maps6 that linDs many parts of the brain$ The creation of this ne7
27
map gi!es off substantial energy, energy that can be tapped as a !aluable resource 5p$
0.6$ The insight e4perience is characteri%ed by a lacD of logical progression to the
solution, but instead a sudden Dno7ing regarding the ans7er$ According to &eeman
5.//?6, (n insight, the solution comes to you suddenly and is surprising, and yet 7hen it
comes, you ha!e a great deal of confidence in it$ The ans7er seems ob!ious once you see
it 5&o7den, &eeman, lecD, G 2ounios, .//?6$ Research in neuroscience suggests that
insight in!ol!es unconscious processing that results in 7hat is commonly e4perienced as
an ah8haO coming une4pectedly from no7here 7ith little to no effort 5RocD, .//C6$
(n concei!ing his brain8based approach to coaching, RocD 5.//@6 de!eloped the
AR(A model to aggregate findings from four main areas of scientific research to e4plain
ho7 coaching impacts the brain- Attention, Reflection, (nsight, and Action. <is research
recommends against focusing attention on problems$ (nsights arise in reflection, not in
deducti!e reasoning or pure calculation$ Studies ha!e sho7n that during reflection 7e
are not thinDing logically or analy%ing dataM 7ere engaging a part of our brain used for
maDing linDs across the 7hole brain$ ;e are thinDing in an unusual 7ay$ (n the
moment of insight, our perspecti!e of reality shifts to re!eal a ne7 possibility$ This
illumination, according to RocD, gi!es off substantial energy, e!oDing a state of intense
moti!ation and action8readiness-
One of the important reali%ations ( had from seeing this model 7as that the energy
of insight might be the thing that propels people through the fear of change and
their automatic homeostasis response$ (f 7e 7ant people to change, they need to
come to an idea themsel!es, to gi!e their brain the best chance of being energi%ed
by the creation of a 7ide scale ne7 map$ 5p$ 0.6
To lay a theoretical foundation for the e4ploration of the role of listening in
helping relationships, the rich history of distinction de!eloped bet7een transactional and
transformational leadership styles can be repurposed to offer similar distinctions bet7een
28
transactional and transformational communicati!e e4changes, specifically targeting the
role of listening in both$ Additional references to transactional listening may be dra7n
from &lauHs social e4change theory 50C@16, as 7ell as research on information processing
5(mhof, 0CCB6$ 9nderstanding about 7hat may constitute and lead to transformati!e
listening may be dra7n from RocD 5.//@6 and RocD and Sch7art% 5.//@6$ These theories
together pro!ide a 7ell8established frame7orD that can help organi%e our e4ploration of
listening$ The follo7ing sections e4plore transactional and transformati!e listening$
Transactional listening$ The term transactional listening has appeared pre!iously
in the literature, 7hen (mhof 50CCB6 used the term transactional to describe information
processing, such as in the learning of a ne7 language 5Rost, 0CC/6$ According to (mhof,
transactional listening 7ould be typical of settings in 7hich the listener has limited
opportunity to interfere or to collaborate 7ith the speaDer in negotiating the meaning of
the message$ This description is especially appropriate for instructional or passi!e
settings, such as taDing instruction or direction$ Transactional may be useful as a
descriptor for listening in t7o 7ays ho7e!er$ (n theory, it may identify a targeted and
immediate information e4change that lacDs potential for co8creation of shared meaning or
further e4ploration$
(n practice, on the other hand, transactional listening may occur differently$ This
study e4plores the potential application of transactional listening in conte4t of e!eryday
business, 7here characteristics of its use may resemble characteristics of a transactional
style of leadership$ Many of the distinguishing elements of this leadership style correlate
7ith descriptions of critical and reducti!e listening$ ;e may start to e4tend our
transactional lens to incorporate critical and reducti!e approaches to listening$
Transactional listening may therefore be concei!ed of as the listening most appropriate
29
for transactional e4changes, such as effecti!e negotiation, clarifying agreements, and
contracting con!ersations$
Transformative listening$ *ra7ing a potential parallel bet7een listening and
transformational leadership styles re'uires precision in choice of the terminology$
Merriam8;ebsterHs online dictionary 5./016 defines ItransformationalK as of or
pertaining to transformation, 7hile Itransformati!eK is defined as transforming or tending
to transform, or causing or able to cause a change$ or the purposes of this in!estigation,
transformati!e 7ill offer a more precise application to listening, though the terms are
commonly used interchangeably$
;hile the history of discourse around transformational leadership is !ast, 7e may
dra7 three specific parallels bet7een characteristics of this leadership style and the Dind
of listening that is transformati!e in nature$ The first centers on engaged, focused
attention$ The literature describes transformational leaders as demonstrating care for
indi!idual employee needs and de!elopment 5A!lio, 0CCCM &ass, 0CB?6$ As stated earlier,
indi!iduali%ed attention of this nature is a core attribute of acti!e listening$ The second is
the presence of a strong relationship built on trust that is moti!ational to both leader and
follo7er 5*o7nton, 0CA>6$ Emotional connection of this nature is characteristic of
empathetic listening$ And third, transformational leadership enables follo7ers to reflect
on circumstances in a similar manner to e4pansi!e listening$ As leaders acti!ate higher
moti!e de!elopment and appeal to an inspired !ision of the future, follo7ers are
energi%ed to action 5&ass, 0CB?6$ &rain8based coaching has substantiated that insight
gi!es off substantial energy and e!oDes a state of intense moti!ation and action8readiness
5RocD, .//@6$
30
(n this 7ay, transformati!e listening may be concei!ed of as the adapti!e mi4 of
acti!e, empathetic, and e4pansi!e listening that tends to transform or change a client
system$ (ts primary characteristics might include engaged, focused attention, empathy or
emotional connection, and an openness to reflection and insight$ ,ossible effects of this
listening approach might include a sense of trust and care in the communicati!e
relationship, shared emotional understanding, and a state of intense moti!ation and
action8readiness$
Though ne7 and largely unsubstantiated, transformational listening has appeared
pre!iously in the literature$ (t 7as connected to sense maDing in narrati!e inter!entions in
organi%ational settings$ Applied at the le!el of con!ersation, S7art 5./0>6 e4plained that
transformational listening can create understanding through the reconstruction of shared
organi%ational realities$ RocD and Sch7art% 5.//@6 ha!e also suggested that illumination
and insight emerge under conditions of attention, support, and safety, 7hich may align
best 7ith acti!e, empathetic, and e4pansi!e listening$ The body of literature on 7hat
constitutes transformati!e or transformational listening is sparse, ho7e!er, if it e4ists at
all$ &eginning to e4amine this type of listening is the focus of the present study$
Applied to the more targeted setting of e4ecuti!e coaching and client
transformation, this in!estigation 7ill e4plore ho7 practitioners themsel!es understand
and e4plain the mi4 of listening percei!ed to result in client transformation$ (t 7ill also
looD to understand ho7 practitioner use of self may contribute to the sensiti!ity and
agility re'uired to moderate and mi4 oneHs listening approaches in highest ser!ice to the
client system$
31
Self-as-Instrument
A central competency in helping relationships and one that is critical for effecti!e
O* consulting has been termed use of self or self as instrument 5SA(6$ This high degree
of self a7areness and self management is often collo'uially described as, Iho7 7e sho7
up$K A formali%ed definition 7as offered by :amieson, Auron, and Schechtman 5./006-
Ithe conscious use of oneHs 7hole being in the intentional e4ecution of oneHs role for
effecti!eness in 7hate!er the current situation is presentingK 5p$ ?B6$
As noted in relation to process consultation, clients play a central role in o7ning
and diagnosing their o7n core issues 5Schein, 0CCC6$ SA( sDills are belie!ed to help both
client and consultant throughout this process$ According to #ange 50CB06 and Schein
50CCC6, these sDills and abilities on the part of the practitioner include suspending oneHs
biases, accessing oneHs ignorance, and promoting a true spirit of in'uiry$ urthermore,
practitioners must de!elop the capacity to listen on multiple le!els, that is, to o!ert
content shared by the client and to 7hat might not be shared$ #istening to intuition and
somatic 'ueues may help practitioners Dno7 ho7 and 7hen to modify their listening mi4
to best ser!e each uni'ue client, situation, and consulting dynamic$ (n addition to
e4ploring its characteristics, the present study 7ill e4amine ho7 transformati!e listening
is enacted, the sDills and acti!ities it potentially demands, and its percei!ed effects on
clients and consultants$
Summary
The purpose of the current in!estigation 7as to e4plore the potential connection
bet7een listening and client transformation 7ithin the conte4t of the client8consultant
helping relationship$ A curiosity of the in!estigator is distinction bet7een transactional
and transformati!e approaches in listening, 7ith specific interest in learning ho7 and if
32
listening itself can be e4perienced as a po7erful catalyst of change$ The main research
'uestion addressed in this 7orD is, I;hat are the characteristics of the listening enacted
by organi%ation de!elopment practitioners 7hile engaged in consultingPK This chapter
presented a re!ie7 of the literature as a theoretical foundation upon 7hich the present
in!estigation is built$ Si4 types of listening 7ere substantiated by the listening literature$
The rich body of research around leadership styles pro!ided the frame7orD to e4plore
t7o ne7 types of listening for their potential usefulness in ans7ering the core research
'uestion of this thesis$ The follo7ing chapter presents the methods used for this
in!estigation$
33
Chapter 3
Methods
The purpose of the current in!estigation 7as to e4plore the potential connection
bet7een listening and client transformation 7ithin the conte4t of the client8consultant
helping relationship$ The research 'uestion addressed in this 7orD 7as, I;hat are the
characteristics of the listening enacted by organi%ation de!elopment practitioners 7hile
engaged in consultingPK This chapter describes the methods used in this in!estigation,
including research paradigm and design, procedures related to sampling and participants,
data collection, and procedures for data analysis$
Research Design
The research design used for the present study 7as a 'ualitati!e descripti!e
research design, also Dno7n as 'ualitati!e research inter!ie7ing$ This design is useful for
Ie4ploring and understanding the meaning indi!iduals or groups ascribe to a social or
human problemK 5Cres7ell, .//C, p$ 16$ Sofaer pro!ided an o!er!ie7 of the !alue of
'ualitati!e methods,
Jin pro!iding rich descriptions of comple4 phenomenaM tracDing uni'ue or
une4pected e!entsM illuminating the e4perience and interpretation of e!ents by
actors 7ith 7idely differing staDes and rolesM gi!ing !oice to those 7hose !ie7s
are rarely heardM conducting initial e4plorations to de!elop theories and to
generate and e!en test hypothesesJ$ 50CCC, p$ 00/06
"ermane to this study, 'ualitati!e descripti!e research is appropriate for
e4amining a research topic 7ith e4isting theories that may not ha!e been applied to a
particular sample of people 5Morse, 0CC06$ As a form of data collection, 'ualitati!e
inter!ie7ing ser!ed the present in!estigation 7ell in t7o 7ays$ (t pro!ided a le!el of
fle4ibility in responsi!eness to participant sharing 5&ryman, .//B6, and allo7ed the
34
researcher to pursue additional data that 7as introduced by participants and 7hich
resulted in emergent themes 5&raun G ClarDe, .//@6$
Although the listening literature broadly dra7s from communication, linguistics,
psychology, anthropology, and management 5&odie et al$, .//B6, the present study gi!es
!oice to practitioners in the field of organi%ation de!elop around their subjecti!e
e4perience of the listening they use in client engagement$ Therefore, an important aspect
of this research is e4ploration of the subjecti!e social reality of participants, from 7hat
linguists and anthropologists call the emic perspecti!e 5<arris, 0CA@6$
E4ploration of oneHs perception and e4perience of listening is a distinctly self8
referential Dind of in'uiry$ As participants 7ere asDed to reflect on the listening they use
in client engagement, they naturally ga!e attention to and deepened a7areness of their
o7n listening e4perience, past and present$ ,henomenological in'uiry of this nature
allo7s for e4ploration of the li!ed e4perience of participants respecti!e to the concept or
phenomenon under study 5Cres7ell,0CCB6$ =ualitati!e inter!ie7s also helped dra7 out
the meaning ascribed by participants to the phenomena, beha!ior, and circumstances of
their e4perience$ This is a process of searching Efor essential, in!ariant structure 5or
essence6 or the central underlying meaning of the e4perienceE associated 7ith a particular
phenomenon 5Cres7ell, 0CCB, p$ ?.6$ The phenomenon in this case 7as listening$
(n order to heighten understanding of indi!idual process and conte4t, an in8depth,
one8on8one inter!ie7 process 7as chosen as a more appropriate choice for the present
study than sur!ey, obser!ation, or other forms of data collection$ The use of 'ualitati!e
inter!ie7 as a tool for data collection can ser!e in e4ploring another personHs or groupHs
perspecti!e of a particular topic of scientific in'uiry, 7hich includes an underlying
35
assumption that participant perceptions are Dno7able, are meaningful, and can be
articulated and captured e4plicitly using the inter!ie7 tool 5,atton, .//.6$
Sampling and Participants
The research purpose guides sampling procedures, including sample si%e,
sampling strategy, and other considerations 5,unch, .//?6$ Smaller sample si%es can be
appropriate for 'ualitati!e researchM therefore, it is important to assure that participants
ha!e the characteristics needed to pro!ide rele!ant data$ The participants chosen for the
present study must ha!e had e4tensi!e e4perience in intimate client engagement to be
able to describe and communicate their e4perience of listening$ The sample for this study
7as limited to practicing or semi8retired consultants in the field of organi%ation
de!elopment 7ith at least 0/ years e4perience in e4ecuti!e coaching or small systems
and one8on8one client engagement$
A combination of con!enience and sno7ball sampling techni'ues 7ere used,
dra7ing participants from the professional net7orD of the researcher as 7ell as the
alumni community of the MSO* ,rogram at ,epperdine 9ni!ersity$ &y engaging this
purposeful sampling techni'ue, the present study 7as able to focus more on the 'uality of
data collected, 7hich is both appropriate and necessary for studies of a 'ualitati!e nature
5,atton, .//.6$
An in!itation 7as emailed to all participant prospects to e4plain the nature and
purpose of the research project and in!ite their participation$ A consent form 7as then
emailed to each prospect containing pertinent information about participant rights and
e4plaining the process of data collection and recording$
36
Ethical Considerations
All human participant protection guidelines pro!ided by the (nstitutional Re!ie7
&oard 7ere obser!ed during the present study$ (t 7as assured that the participants 7ere
protected from harm and that any risDs they faced in participating 7ere mitigated$
,articipants 7ere ad!ised of 7hy the research 7as being conducted$ ,articipants 7ere
ad!ised of all procedures in!ol!ed in the study, as 7ell as the appro4imate time re'uired
for participation$ RisDs and safeguards for mitigating the risDs 7ere outlined$ (t 7as
clarified that in order to protect confidentiality, participant (* numbers 7ould be used
instead of names throughout the data collection process$ urthermore, digital recordings
7ere transcribed directly by the researcher and subse'uently destroyed, 7ith no
identifying elements retained in transcription$
The consent form assured participants that they could 7ithdra7 from the study at
any time 7ithout penalty, or refuse to ans7er any 'uestion at any time$ Each participant
understood that their identity 7as Dept confidential in the results of the study$ A
participant replying confirmation of participation also agreed to a one8hour recorded
inter!ie7$ All consent forms, communication, transcripts, and inter!ie7 notes 7ill be
sa!ed on a hard dri!e in a locDed cabinet separate from the data for > years after
completion of the study, at 7hich time all data 7ill be destroyed$
Data Collection
Chapter . of this thesis pro!ided an e4tensi!e re!ie7 of major trends in the
scientific study of listening o!er the past half century$ This included se!eral e4isting
types and dimensions of listening, as established in the literature$ Three listening
dimensions and se!en types of listening from the literature 7ere used in de!eloping the
inter!ie7 script for participants 5see Appendi4- (nter!ie7 Script6$ ollo7ing are the
37
definitions of each type of listening as emailed in ad!ance in the script and e4plained to
participants during the inter!ie7-
0$ ,assi!e listening has been described as listening 7ith passi!e attention and
7ithout interaction, commentary, or e!aluation$ *ue to its lacD of engagement,
passi!e listening may be prone to distraction$ (t can be useful for information
ac'uisition, such as 7hen listening to lectures, reports, or instruction 7here
there is little participation in a co8created meaning$
.$ Acti!e listening has been described as listening 7ith engaged, focused
attentionM it may include reflecting and summari%ing a message to reduce
misinterpretation$ To oneHs communication partner, acti!e listening may
communicate message reception, a shared sense of understanding, and care for
the speaDer8listener relationship$
>$ Critical listening has been described as listening 7ith critical judgment for the
purpose of discerning the 'uality, !alidity, or merit of information recei!ed$
Critical listening prioriti%es structure, order, and discipline in communication,
independent of emotional conte4t$
1$ Empathetic listening has been described as listening 7ithout critical judgmentM
it may be used for the purpose of ha!ing a communication partner feel
emotionally understood$ Empathetic listening may produce a sense of care,
support, and !alidation of oneHs personal e4perience$
?$ Reducti!e listening has been described as efficient, pragmatic, and
destination8dri!en for the purpose of accomplishing tasD and attaining closure$
Reducti!e listening prioriti%es Tgetting to the pointH and may be useful in
sol!ing problems andSor achie!ing immediate outcomes$
@$ E4pansi!e listening has been described as curiosity8dri!enM it prioriti%es
reflection and the e4ploration of ne7 ideas or different perspecti!es$
E4pansi!e listening is often associated 7ith brainstorming and may be useful
for inspiring creati!ity, inno!ation, or insight$
A$ Transactional listening may be described as listening for the purpose of
transactional e4change$ (t may be useful in contracting e4pectations or in
negotiating re7ard or penalty conditional upon the achie!ement of specific
outcomes$
All inter!ie7s for the present in!estigation 7ere appro4imately one hour in
duration and 7ere conducted by phone$ *uring the inter!ie7, participants 7ere in!ited to
e4plore their usage, e4perience, and perceptions of the listening they enact in client
engagements liDe e4ecuti!e coaching$ ,robe 'uestions for each type of listening e4plored
38
fre'uency of usage, perceptions of the looD, sound, and feel of the listening, and any
percei!ed connection to client insight and transformation$ ,articipants also shared their
perceptions of the appropriateness of transactional listening as a descriptor for the
listening used in routine, day8to8day operation$ The final listening approach e4plored 7as
transformati!e listening$ &y this time in the series, participants had learned and refined
their o7n process of mapping listening terms to their phenomenological e4perience$ An
inducti!e approach here allo7ed the researcher to capture definitions and descriptions of
transformati!e listening from an emic perspecti!e 5<arris, 0CA@6 in the 7ords of the
participants themsel!es$ inally, participants 7ere in!ited to share any other uni'ue
listening approaches they might use in their practice$
As noted, the ten 'uestions comprising the inter!ie7 script 7ere emailed to
participants in ad!ance of the inter!ie7 to orient them to the nature of the discussion$ At
the start of the inter!ie7, participantsH rights 7ere acDno7ledged, including their right to
ans7er or pass on 'uestions of their choice$ ,articipants 7ere also informed that
aggregate data 7ould be presented in the final research product$ An e4ecuti!e summary
or full copy of the thesis has been made a!ailable upon re'uest$
Data Analysis
#iterature on 'ualitati!e methods suggests that optimal 'ualitati!e research Iis
systematic and rigorous, and it seeDs to reduce bias and errorK 5Sofaer, p$ 00/0, 0CCC6$
Codes and analyses 7ere dri!en by the data rather than by a pre8e4isting coding
frame7orD 5&raun G ClarDe, .//@6$ Themes 7ere subse'uently de!eloped that 7ere
linDed to the data, 7hich allo7ed the researcher to maDe meaning of the data 7hile
maintaining the uni'ue e4perience described by study participants 5Cres7ell, .//C6$
Subtleties in participant responses 7ere distinguished and preser!ed, including thoughts,
39
reactions, reflections, and anecdotal stories$ The step8by8step procedures for data analysis
7ere as follo7s-
0$ The researcher read the notes from all the inter!ie7s to re!ie7 the range and
depth of data gathered$
.$ The researcher created a start list of codes that appeared to reflect the data in
the inter!ie7 notes$
>$ (nter!ie7 notes 7ere coded to reflect 7hich phrases and sentences fit 7ith
7hich codes$
1$ ollo7ing coding, the start list of codes 7as re!ie7ed for fit and po7er
5Miles, <uberman, G Saldana, ./0>6$ Codes that 7ere lightly used, not used
at all, or 7hose 7ording did not appear to best reflect the data 7ere re!ised
and the inter!ie7 notes 7ere recoded accordingly$
?$ The le!el of saturation 7as indicated for each code 7hen code re!ision 7as
complete$ Saturation 7as indicated by counting the number of people in each
group 7ho reported each code$
@$ Three secondary coders re!ie7ed the data analysis to determine 7hether the
coding results appeared to be !alid$ One coder 7as a doctoral8le!el researcher
7ith substantial e4perience analy%ing 'ualitati!e data, one 7as an O*
professional, and one 7as a student in ,epperdine 9ni!ersityHs master of
science in O* program$ The coders 7ere pro!ided 7ith the inter!ie7 notes
and asDed to identify the codes that emerge in each category$ The coders
pro!ided their analysis and the researcher compared the results to his o7n$
;here discrepancies 7ere found, the researcher and second coder discussed
and agreed upon definitions of these themes and 7hat data should be coded
7ith that theme$ This process 7as repeated until interrater reliability
5calculated as the number of matching codes di!ided the number of total
codes6 7as /$B/$
Summary
This chapter re!ie7ed the methods used for the present study, including the
research design and procedures related to sampling, ethics, and data collection and
analysis$ A 'ualitati!e descripti!e design 7as used and 00 e4perienced coaches and
consultants 7ere inter!ie7ed$ *ata analysis tooD an inducti!e approach to determining
and understanding themes that emerged related to the uni'ue phenomenological
40
e4perience and sense8maDing of participants around their perceptions of listening in the
conte4t of client engagement$ The ne4t chapter reports the study findings$
41
Chapter 4
Results
This chapter reports the study results$ ,articipant demographics are presented
first, follo7ed by findings related to the types of listening used$ The characteristics
participants assigned to !arious types of listening are then identified, follo7ed by
acti!ities or actions taDen 7hile listening$ Effects of transformati!e listening on
consultants and clients are presented fourth$ The chapter closes 7ith a summary$
Participant Demographics
Ele!en e4perienced coaches and consultants 5si4 men, fi!e 7omen6 7ere in!ol!ed
in the present study$ ,articipants ranged in age from >> to AB 5M U ?B$.A, S* U 00$/@6$
Their e4perience in the O* field ranged from B to 10 years 5M U .?$1?, S* U 0/$@>6 and
their e4perience in helping professions ranged from 0> to ?> years 5M U >.$0, S* U
0.$.1$ The participantsH demographics are summari%ed in Table 0$
Table 1
Participant Demographics
,articipant Age "ender 3ears in
O*
3rs in <elping
,rofession
Current
;orD Status
0 ?@ M 0/ .? ull8time
. ?C >? >? ull8time
> ?? >/ >/ ull8time
1 @1 .? 1/ Semi8retired
? AB M 10 ?> Retired
@ @? M >? 1/ Semi8retired
A @. M .B 1/ Semi8retired
B @> M .> .> ull8time
C >> M B 0> ull8time
0/ ?0 0? 0? ull8time
00 ?? >/ >/ ull8time
Totals M U ?B$.A
S* U 00$/@
@ Male,
? emale
M U .?$1?
S* U 0/$@>
M U >.$0
S* U 0.$.1
A ull8time
> Semi8
retired
0 Retired
O* U Organi%ation *e!elopment
42
,articipant gender for the sample 7as fairly balanced, 7ith ??L male 5n U @6 and
1?L female 5n U ?6 participants respecti!ely$ The mean participant age 7as ?B$.A years,
7hich aligns 7ith the career a!erage of .?V years of practice in the field of O*$ All
participants ha!e had e4perience as internal and e4ternal consultants$ ??L 5n U @6 self8
identified as e4ternal, and the other 1?L 5n U ?6 had career8defining roles as internals
7ith large organi%ations$ Though one participant self8identified as retired and three others
as semi8retired, all participants indicated some le!el of current professional acti!ity$
,articipants shared a common 7orD history in the field of organi%ation
de!elopment, 7ith a minimum of 0/ years e4perience in the field$ ;ithin their respecti!e
career histories, participants ser!ed client systems of a range of si%es, from indi!iduals or
small systems engagements to large systems in organi%ations of up to 0/,/// members$
(ndustries ser!ed by participants and their organi%ations represent the for8profit,
nonprofit, go!ernment, and educational sectors, predominantly centered in the 9S$
Three participants ha!e held senior e4ecuti!e or C8suite le!el leadership positions
at some point in their careers, and another si4 ha!e held director positions at their
respecti!e organi%ations$ Se!en participants currently 7orD as e4ternal consultants 7ith
their o7n practices or connected to bouti'ue consulting firms,$ T7o participants bring to
their O* perspecti!e bacDgrounds in academic research and e4pertise in the fields of
neuroscience, organi%ation beha!ior, and counseling$ Another t7o ha!e e4tensi!e
functional e4pertise in training and de!elopment, and one speciali%es in addiction
reco!ery for e4ecuti!es$ Three participants also teach organi%ation de!elopment at the
uni!ersity le!el as fulltime or adjunct faculty$ All participants recei!ed graduate degrees
7ith fields of study ranging from organi%ation de!elopment and organi%ation beha!ior to
43
business administration$ Nine participants are graduates of the MSO* ,rogram at
,epperdine 9ni!ersity$
All participants reported e4tensi!e e4perience in small systems and 08on80 client
engagement, 7ith at least half identifying e4ecuti!e coaching as a core component of
their professional practices$ ,articipants indicated that the majority of their coaching
clients tended to be front line and senior managers, C8suite e4ecuti!es, heads of boards,
and others in leadership positions on behalf of their organi%ations$
Types of Listening Used
This study in!estigated the listening enacted by O* practitioners in helpful
relationships such as e4ecuti!e coaching$ re'uency of use 7as considered for si4
common types of listening from the literature and t7o relati!ely ne7 listening
descriptors- transactional and transformati!e listening$ An o!er!ie7 of usage fre'uency
presented in Table . indicates that 0//L of participants 5n U 006 reported regular use four
types of listening- acti!e, empathetic, e4pansi!e, and transformati!e listening$ C0L of
participants 5n U 0/6 reported at least occasional, intentional use of critical, reducti!e, and
transactional listening as 7ell$
Table 2
Types of Listening Used
Type of #istening Ne!er or
Rarely 9sed
9sed Occasionally
7ith (ntention
9sed Regularly
,assi!e 0/ 5C0L6 0 5CL6
Acti!e 00 50//L6
Critical 0 5CL6 1 5>@L6 @ 5??L6
Empathetic 00 50//L6
Reducti!e 0 5CL6 0 5CL6 C 5B.L6
E4pansi!e 00 50//L6
Transactional . 50BL6 C 5B.L6
Transformational 00 50//L6
N U 00
44
ocusing on the listening modalities used less often or by fe7er participants, ??L
5n U @6 reported regular use of critical listeningM another >@L 5n U 16 use this approach
only on occasion and 7ith intention$ (nterestingly, the data re!ealed similar usage for
reducti!e and transactional listening- B.L of participants 5n U C6 use these approaches
regularly, ho7e!er 0BL 5n U .6 do not$ The outlier here 7as the sole, fully8retired
participant 7ho at his stage in life e4pressed clear preference for empathy and
e4ploration and lacD of interest in critical and reducti!e listening$
All participants 5n U 006 reported regular or occasional use of the eight types of
listening e4plored in this study 7ith one e4ception- no participant reported regular use of
passive listening$ ,articipant > shared,
One of the Dey elements of my practice is listening$ (tHs one of my Dey sDills, and
( thinD (Hm really good at it$ ( 7ould say that acti!e listening is a Deystone to the
7orD that ( do$ (t taDes a really long time to be a good acti!e listener, because you
ha!e to let go of yourself$ (t canHt be about us, it has to be about the speaDer$ So (
really use QlisteningR as my Dey toolM it brings me to more 'uestions$ (f youHre not
acti!ely listening, you donHt Dno7 7hat 'uestions to asD$
,articipant @ ga!e an o!er!ie7 of ho7 acti!e listening ser!es him in his practice-
Clearly, ( use acti!e listening$ (tHs al7ays part of my client engagement process to
gather information to get a clear picture of the situation (Hm 7alDing into$ That
includes a lot of one8on8one inter!ie7s 7ith direct reports and other staDeholders
to e4pand my !ie7 of 7hatHs going onM ( find out peopleHs concerns, issues,
objecti!es, e4pectations, strengths, 7eaDnesses, etc$ and (Hm al7ays using acti!e
listening 7hen (Hm out talDing to people$
. shared her perception of a continuum operating 7ithin her listening-
( definitely use acti!e listening$ ,assi!e is not particularly helpful, but there is a
continuum- thereHs a point 7here you can become o!erly acti!e, 7here thereHs so
much focus, it becomes de8energi%ing for people and youHre doing the thinDing
for them$
#iDe others, C interpreted acti!e listening as acti!e participation, rather than the
common communication techni'ue used in counseling, training, and conflict resolutions-
45
&y the nature of the Dind of 7orD ( do, (Hm al7ays acti!ely participating$ This can
be e4ternally 7ith a client, but also internally just to the point of being stirred$ (
try to be a7are of things that are arising in me from my interaction 7ith the
clientJ$thatHs all acti!e$
,articipant 00 shared a neuroscience lens of the importance of acti!e listening-
A part of acti!e listening is 'uieting the inner narrati!e so you can really listen to
a person$ Acti!e listening is being able to step outside of your o7n narrati!e
circuitry, so if (Hm listening to you, (Hm not remembering something about me that
( may 7ant to share 7ith you later$ And thatHs part of 'uieting that narrati!e
circuitry and being fully present$ (tHs a sDill$
Ten participants 5C0L6 reported that they rarely or ne!er use passi!e listening in
client situations$ 00 e4plained,
(f ( find myself tuning out to that engaged state of listening deeply, then ( usually
Dno7 thereHs something for me to pay attention to in the interaction$ (f (Hm getting
bored, ( need to figure out 7hy, because itHs not really my role to be bored 7hile
(Hm 7orDing 7ith clients or 7ith students$ So ( try to gi!e !oice to 7hate!er the
source of the boredom is if itHs appropriate, and sometimes it is, and sometimes
thatHs an inter!ention$ &ut itHs almost ne!er in a client situation that (Hd be in a
passi!e listening mode$
A admitted, ISometimes ( re!ert to passi!e listening 7hen my role is not critical$ (
thinD itHs human nature 7hen that happens, and ( ha!e to o7n up to that$K 0/ e4plained
that she uses passi!e listening occasionally for specific situations- IE!ery once in a 7hile,
( can tell by the mood that the person just needs to talD things out, so ( let them run$K
&eyond the acti!e !ersus passi!e listening dimension, participants reported !aried
use of critical, empathetic, reducti!e, e4pansi!e, transactional, and transformati!e
listening approaches$ The ne4t section pro!ides detailed description on participantsH uses
and characteri%ations of these types of listening$
Characteristics of Listening Types
Analysis of the inter!ie7 data indicated that engaged, focused attention in acti!e
listening plays a central role in each of the other types of listening e4amined here$ T7o
46
participants characteri%ed transactional listening as more passi!e in nature, ho7e!er their
interpretation is unclear$ The follo7ing sections describe the characteristics of each type
of listening as identified by the participants$
Critical listening$ Table > presents the characteristics of critical listening$ Similar
to ho7 this listening is portrayed in the literature, ,articipant 0 e'uated this modality 7ith
judgment, e4plaining,
;hen ( thinD of the critical listening dimension, 7hat 7eHre really talDing about is
judgment, and for the most part judgment has to be suspended$ ;hat you 7ant to
do 7ith your client is mirror things bacD or help them thinD about something in a
ne7 7ay$ (f you present something 7ith a sense of judgment around it, itHs !ery
unliDely to be recei!ed, and transformation canHt happen then$
Table 3
Characteristics of Critical Listening
Characteristic n
(lluminates inconsistencies to the client ? 51?L6
Supports an action orientation ? 51?L6
Allo7s for the filtering of information and identification of salient issues 1 5>@L6
,ro!ides order and structure > 5>AL6
Enhances consultant credibility . 50BL6
N U 00
orty8fi!e percent of participants 5n U ?6 associated critical listening 7ith
illuminating inconsistencies to the client$ B shared, I;hen (Hm listening to a clientHs
story, ( ha!e to use critical listening to disco!er the inconsistencies$ ( listen for 7hat
theyHre sharing as 7ell as to the spaces of 7hat theyHre not sharing$ So judgment in this
case is useful, but only in pro!iding the support my clients need$K 0/ elaborated,
( try to lean into the empathetic listening at first$ &ut o!er time as ( de!elop a
relationship 7ith the client, (Hll start to incorporate critical listening to help point
out inconsistencies$ ( use critical listening against this internal criteria ( de!elop as
( 7orD 7ith a client, and it lets me checD for consistencies or inconsistencies 7ith
their stated goals or directions that they 7ant to stretch themsel!es$
47
orty8fi!e percent of participants 5n U ?6 also percei!e this listening as supporti!e
of an action orientation$ . e4plained, ICritical listening is useful for the e!aluation of the
content of 7hat a client has sharedM thereHs also an e!aluation in me to get a sense of 7hat
choice of action ( taDe ne4tWW7here and ho7 ( can guide the con!ersation to help the
process mo!e for7ard$K our participants shared that critical listening allo7s them to
filter information and identify salient issues$ I3ou ha!e to be able to filter things for your
client,K stated 0$ This point 7as e4panded on by 00-
;ith critical listening (Hm measuring 7hat QclientsR are saying against 7hat their
stated intentions are, or against certain goals they 7ant to achie!e or 'ualities
about themsel!es theyHre trying to lean into$ Often a client 7onHt e!en see that
theyH!e !eered off from 7hat theyHre trying to maDe happen, and reminding them
of their stated intentions can help direct their thinDing$ Critical listening can help
me notice patterns in the 7ay a client is talDing or thinDing about something, so
(Hll bring it to their attention to see if they notice or thinD itHs a pattern as 7ell$
Often itHs a surprise to them they hadnHt reali%ed and an insight comes out of that$
Other characteristics included use of this listening to pro!ide order and structure
5n U >6 and to enhance consultant credibility at the outset of an engagement 5n U .6$ C
stated that critical listening can help Ithe practitioner or coach to Dno7 ho7 to translate
things to the language of the client and 7hen to put structure in place in order to mo!e to
e4ecution and action$K Reflecting o!er her career, . intimated,
Critical listening is 7hat actually earns me the ability to sit in an empathetic place
7ith a client and ha!e the client be 7illing to let me be empathetic 7ith them$ (n
business settings, some of this is gender related$ ;hen ( 7as younger, it 7as hard
to ha!e an impact as a young female trying to coach a male leader older than me
by 0?8./ years$ <a!ing the ability to use critical listening established credibility
for me to be seen as a business person bright enough and smart enough to 7orD
7ith more senior leaders$ rom there it 7as easier for the client to accept me in
more of an empathetic role$
Empathetic listening$ All participants stated that they engage regularly in
empathetic listening$ I;hen (Hm listening to a clientHs story,K e4plained B, ( ha!e to use
48
empathetic listening to ha!e them feel heard$K Addressing its relationship to critical
listening, C emphasi%ed the crucial role empathy plays in his practice-
( start 7ith empathetic listening to allo7 me to accept my client 7here!er they
are, but it also sets the conte4t for me to notice and accept in me 7hate!er critical
judgments might arise as (Hm listening$ So ( use both Dinds of listening in my
practice, but fundamentally, itHs not coaching if empathy is not in!ol!ed$
As portrayed in Table 1, >@L of participants 5n U 16 described empathetic
listening as allo7ing the coach to ItaDe inK the clientHs 7orld$ B e4plained, I( try to sho7
up 7ithout any preconcei!ed ideas or notions about 7hatHs going on for them$ (Hll asD a
fe7 open8ended 'uestions, but essentially (Hm just listening and taDing it all in to
understand their 7orld$K Three participants shared that empathetic listening in!ol!es
suspending and emptying oneself as the coach$ 0 elaborated,
3ou ha!e to be able to suspend yourself, your thinDing, and your opinion in order
to sho7 up 7ith empathy to the other person$ $ $ Q3ou must notR maDe it about you
but about someone else$ ThatHs 7hat going to ha!e the impact on the client$
Table 4
Characteristics of Empathetic Listening
Characteristic n
Allo7s coach to ItaDe inK the clientHs 7orld 1 5>@L6
(n!ol!es suspending and emptying oneself as the coach > 5.AL6
Amplifies 7hat is really going on for the client > 5.AL6
(n!ol!es holding the space for the client . 50BL6
(nforms critical listening . 50BL6
N U 00
Other descriptors of this type of listening included amplifying 7hat is really going
on for the client 5n U >6, holding the space for the client 5n U .6, and informing critical
listening 5n U .6$ or e4ample, B e4plained,
( use empathy and the feeling realm to inform my critical listening$ (f thereHs not
enough tension, pain, or joy there, if there are no true emotions that hit me on a
!isceral le!el, then ( Dno7 the person is not being truly authentic$ $ $ $ Q(tR tellQsR
me 7hen 7eHre getting some7here, and 7hen itHs not deep enough and ( need to
try a different approach$
49
(n particular, one participant 7ith an academic bacDground in the neurosciences
elucidated 7hy critical and empathetic listening might be difficult to use simultaneously-
;hat ( 7ould liDe to call out is that there is a shado7 on both of the ends
of the continuum$ The shado7 on the critical judgment end is becoming critical to
the point of not hearing 7hat the person is saying because my o7n judging !oice
is so strong that (H!e simply e4cluded something youHre telling me that doesnHt fit
7ithin my frame$
On the other end of the spectrum, the classic Rogerian empathetic
listening is completely nonjudgmentalM itHs !aluing the personhood of the person
despite 7hat theyHre saying$ ( thinD the shado7 of that is really becoming
disconnected from your o7n !oice or intuition for 7hatHs happeningJ$
The research of Matt #ieberman from 9C#A on social circuitry and
analytic circuitry in the brain suggests that those circuits are really distinct and
that most people arenHt !ery good at s7itching bet7een them$ ( ha!e a hunch that
has something to do 7ith the capacity to be both empathetic and in critical
judgment$ To use both 7ith some Dind of fluidity and consciousness is probably
the marD of someone 7ho is fairly integrated or has a pretty high degree of neural
integration$
( thinD critical and empathetic listening ha!e to happen in the right degree
in any QcoachingR con!ersation at all times, and the real Dey is being conscious of
7here ( am on that continuum 7ithout it getting in the 7ay of the interactions$
Reductive listening$ As depicted in Table ?, nine participants use reducti!e
listening to efficiently select actions, and se!en reported that it promotes clarity and
resolution$ Themes also emerged around timing and 7hen to use reducti!e listening$
Table 5
Characteristics of Reductive Listening
Characteristic n
9sed to efficiently select actions C 5B.L6
,romotes clarity and resolution A 5@1L6
Timing
9sed at end of discussion ? 51?L6
9sed at !arious times . 50BL6
9sed at beginning of discussion . 50BL6
N U 00
IReducti!e listening is definitely a part of the process,K stated ., Ibecause usually
7hen youHre trying to help someone mo!e to action, thatHs 7here ha!ing a clear
destination or outcome is important$K 1 elucidated,
50
There is a clear and distinct !alue in my role that comes from reducti!e listening$
;hen people are trying to maDe sense of comple4 circumstances it can be hard
for them to summari%e and reduce comple4ity to get clear on 7here 7eHre going,
ho7 7eHre going to get there, and 7hat action can be taDen$ ThatHs an important
part of my role as a coach$
Some participants reported using this listening at the beginning 5n U .6 or at other
times in a discussion 5n U .6 especially as part of a repeating process$ Consultants most
often use reducti!e listening after e4pansi!e listening at the end of a coaching
con!ersation 5n U ?6, as e4plained by ,articipant .-
&oth reducti!e and e4pansi!e listening get used, and you ha!e to Dno7 ho7 to
flo7 bacD and forth bet7een them$ &usiness coaching is not just a normal
con!ersationM youHre trying to get to an action, so typically at the end of a session,
( try to anchor the learning or ne7 a7areness 7ith a Dind of reduction- ISo 7hatHs
more clear for you no7, or 7hat are the ne4t steps you seePK This is 7here 7e try
to close the con!ersation or Iunit of 7orDK do7n$
Expansive listening$ All 00 participants reported regular use of e4pansi!e
listening$ > offered an analogy here- I( e4perience it almost liDe an accordion, 7here (
help people to e4pand their possibilities and e4pand their ideas, but then 7e pull it bacD
in to reduce and focusJ$ C/L of the time (Hm listening for clues that gi!e a greater
possibility of gro7th on the part of the client or small client system$K
Table 6
Characteristics of Expansive Listening
Characteristic n
osters e4ploration and disco!ery 0/ 5C0L6
*eepens understanding and insight A 5@1L6
Timing
9sed at beginning of discussion @ 5??L6
9sed at !arious times . 50BL6
N U 00
As depicted in Table @, 0/ participants 5C0L6 connect this type of listening to
e4ploration and disco!ery, 7hile se!en 5@1L6 characteri%e it as deepening understanding
and insight$ @ shared,
51
The majority of listening ( use is e4pansi!e$ (Hm al7ays trying to bring people out
of their bubble, to generate other 7ays of !ie7ing things, to get people out of
limited mindsets they ha!e$ (Hm al7ays trying to e4pand peopleHs hori%ons$
E4pansi!e listening is generally used at the beginning of a discussion 5n U @6 or at
other !arious times 5n U .6, ho7e!er is almost al7ays follo7ed by its reducti!e
counterpart$ 0/ e4plained,
( definitely use both reducti!e and e4pansi!e listening in my practice$ ( generally
start 7ith curiosity and e4pansi!e listening in order to help generate options$ ( try
to increase their choice and the number of ideas and possibilities they ha!e$ As a
coaching session goes on, ho7e!er, and definitely by the end of it, ( mo!e to
using reducti!e listening to get them to choose from the options and possibilities
7e discussed$
Transactional listening$ This study e4plored transactional listening as a potential
descriptor of the listening that is appropriate for the transaction of e!eryday business$
rom his perspecti!e as a former senior e4ecuti!e in the hospitality industry, B stated,
IThe majority of the listening used in corporate America is !ery transactional$K Applying
the term to her o7n day8to8day business, > reflected, I( use transactional listening in my
7orD$ ( use it a lot, because 7e ha!e to get stuff done$ ;e ha!e to maDe plans, and 7e
ha!e to decide 7hat to do$ Transactional listening is ho7 7e get 7orD done$K
Of the si4 types of listening from the literature, A>L of participants 5n U B6
percei!ed transactional listening as a combination of reducti!e and critical listening$ The
same number 5n U B6 see this orientation as necessary for defining agreements, and
another fi!e consider it to promote clarity 5see Table A6$ I(n client engagement,K
e4plained 0, IthereHs a life cycle to the con!ersations (Hm describing$ Transactional
listening plays a part at the beginning in 7hat 7e thinD of as the contracting phase in O*,
7hen itHs my job to help the client get clear on the outcome they 7ant to achie!e 7ith our
52
time$K Reflecting on the !alue of contracting, @ noted, ITransactional e4change actually
helps both of us accept and be clear about ho7 to sho7 up for each other to do the 7orD$K
Table 7
Characteristics of Transactional Listening
Characteristic n
<elpful for mo!ing to action 0/ 5C0L6
Necessary 7hen defining agreements B 5A>L6
(s reducti!e and critical B 5A>L6
Commonly practiced by business leaders @ 5??L6
,romotes clarity ? 51?L6
(s passi!e . 50BL6
N U 00
Si4 participants characteri%ed this listening as commonly practiced by business
leaders$ ;hile t7o percei!ed transactional listening as a more passi!e andSor default
choice, C0L of participants 5n U 0/6 described this listening as helpful for mo!ing to
action$ 0 offered a thorough summary of transactional listening-
Transactional listening is all about clarity and maDing decisionsM itHs about Ijust
the facts, maHamK 7here youHre dealing 7ith fact8based and tangible issues to cut
to the chase and mo!e into action$ C/L of the Dinds of con!ersations people ha!e
in business are more of a transactional nature$ 9nless they are engaged in a
de!elopment con!ersation or trying to shift something to a different le!el, most
day8to8day issues are more transactional- 7hat are 7e going to do, 7hen and ho7
are 7e going to do it, 7hat is it going to cost, etc$
Transformative listening$ #ast in the in'uiry of listening types 7as the ne7est
term for participants, transformati!e or transformational listening 5used interchangeably
by inter!ie7ees6$ ,articipant > depicted this orientation as ImaDing change possible
through your listening$K <a!ing mapped se!en other listening approaches to their
phenomenological e4perience, participants easily described the Dey role this listening
plays in their 7orD 5see Table B6$ ,articipant > continued, ITransformational listening
helps the client disco!er and transform himself, and your acts of listening and asDing
different Dinds of 'uestions help someone see 7hatHs possible$K ,articipant @ had a
53
similar perspecti!e- ITransformational listening re'uires figuring out 7ays to ha!e clients
see the same things that (Hm seeing and come up 7ith the same conclusions$ (tHs tricDy
and taDes longer than pointing out the ans7ers right a7ay, but thatHs 7hen (Hm doing my
best 7orD as a consultant$K
Table 8
Characteristics of Transformative Listening
Characteristic n
Re'uires engaged, focused attention 00 50//L6
(s a mi4 of acti!e, empathetic, and e4pansi!e listening C 5B.L6
osters e4ploration and insight @ 5??L6
*isplays empathy and emotional connection > 5.AL6
osters a spiritual or deep connection > 5.AL6
(ncorporates all types of listening > 5.AL6
,ushes to7ard action that maDes transformation possible > 5.AL6
N U 00
As portrayed earlier, this listening 7as the fourth orientation used regularly by
0//L of participantsM the other three 7ere acti!e, empathetic, and e4pansi!e listening$
Nine participants 5B.L6 percei!e transformati!e listening as a mi4 of these primary
listening approaches 7ith shared characteristics that include engaged, focused attention
5n U 006, e4ploration and insight 5n U @6, and empathy and emotional connection 5n U >6$
. e4plained the interplay of listening types-
Transactional listening 7onHt mo!e past a critical and reducti!e place$ or
transformati!e listening, the engaged attention of acti!e listening is necessary for
transformation to occurM so are empathy and insight$ &ut o!er the course of client
engagement, the listening ( use 7ill cycle bet7een empathetic and critical
listening as 7ell as bet7een e4pansi!e and reducti!e listening depending on client
needs in the moment$
Three participants percei!e transformati!e listening as incorporating any and all
listening modalities needed to ser!e transformation of the client system, as e4plained by
C, I( associate all of them 7ith transformati!e listeningJ$ ThereHs a time for
e4pansi!eness, a time for empathy, and a time for being reducti!e and mo!ing into
54
action$K or some participants, this listening mi4 displays discrete, obser!able beha!iors,
such as pushing to7ards action that maDes transformation possible 5n U >6$ or others,
ho7e!er, it is characteri%ed by less tangible attributes, such a spiritual or deep connection
5n U >6$ C e4plained, ITransformati!e listening is fundamentally being able to listen for
7hat is deeper, more sustainable, and more life gi!ing$ (tHs more emotional, connecti!e,
and po7erful$K This sentiment 7as echoed by 1, 7ho reflected, I( e4perience a sense of
appreciation for the human conditionWWthat 7e can learn and change e!en though itHs
really hard$ Sometimes 7e actually 7orD to not to be open to change or consistent in ho7
7e deal 7ith it, so for me thereHs a sense of triumph for the human species in ha!ing the
capacity to better oursel!es$K
Ways that Listening is Enacted
,articipants 7ere asDed to describe the 7ays in 7hich they enacted listening
during client engagements 5see Table C6$ ,articipants connected se!eral acti!ities to their
e4perience of listening in the client8consultant relationship$ These included listening 7ith
7hole body, to the 7hole person, and at multiple le!els 5n U C6, practicing presence and
intention 5n U @6, and creating a safe container 5n U .6 for the engagement$ IThereHs a
consciousness that you bring to QcoachingR through the 'uality of your listening,K shared
0/$ IThinDing about the somatic,K e4plained ., IitHs about the le!el of energy (Hm
bringing into each coaching engagement and understanding ho7 (Hm sitting 7ith this
energy 7hile being present 7ith a client$K
55
Table 9
Actions Taken During Listening
Acti!ity n
#isten 7ith 7hole body, to the 7hole person, at multiple le!els C 5B.L6
,ractice presence and intention @ 5??L6
E4tend 7armth, acceptance, and trust in the clientHs capability @ 5??L6
AsD insight8pro!oDing 'uestions ? 51?L6
Amplify and !alidate the clientHs !oice 1 5>@L6
Create a safe container . 50BL6
"ather data about the situation . 50BL6
N U 00
&y accessing this additional emotional and somatic information, practitioners are
able to gather data about the situation 5n U .6 from multiple le!els to inform their
perspecti!e$ I(tHs a 7ay of listening that goes beyond the ears and eyes,K e4plained .$
Other acti!ities associated 7ith practitioner listening include e4tending 7armth,
acceptance and trust in the clientHs capability 5n U @6, asDing insight8pro!oDing 'uestions
5n U ?6, and finally amplifying and !alidating the clientHs !oice$ . offered her perspecti!e-
My presence functions liDe a Dind of container that allo7s the client to e4plore
their fears, their concerns, their ideas, 7hate!er they need, and through this
process they soften enough to ha!e a transformational e4perience$ (Hm not doing
the 7orD here, itHs more about increasing client recepti!ity to their o7n creati!ity
and ideas$
Effects of Transformative Listening on Consultants and Clients
inally, participants 7ere asDed to identify the outcomes of transformati!e
listening 5see Table 0/6$ Client insight 7as the most commonly percei!ed outcome of
transformati!e listening- I9sually, thereHs a shift in direction of a clientHs thinDing,K
shared 0, I7here t7o things get connected that had ne!er been connected before, and
people e4perience this ah8haOK (nterestingly, insight 7as a contemporaneous outcome
e4perienced by practitioners 5n U >6 as 7ell$ B offered his e4planation here- IThe
e4perience of transformational listening is the same on both side, gi!ing and recei!ing$K
56
This point of !ie7 7as mirrored by @- I(Hm just liDe my clients$ ;hen (Hm listening
transformationally, ( e4perience an openness to ne7 possibilities, an a7areness of
judgments that are holding me bacD, and a generous presence 7ith others$K
Table 10
utcomes of Transformative Listening
Outcome n
Consultant Outcomes
Ne7 insights > 5.AL6
Shifts in manner of in'uiry . 50BL6
Client Outcomes
Ne7 insights @ 5??L6
Enhanced listening sDills and other capabilities @ 5??L6
Meaningful results and maDing ne7 choices ? 51?L6
Shift to a more generati!e, life8gi!ing state > 5.AL6
Enhanced trust in coach . 50BL6
N U 00
Outcomes reported by participants for both consultants and clients also tended to
reflect a shift of some nature, often from e4ploration of possibility to goal setting and
e4ecution$ ITransformation is taDing the insight into action to get the result,K stated 0$ or
consultants, this occurred as a shift in manner of in'uiry 5n U .6, 7hile for clients it 7as
characteri%ed as meaningful results and maDing ne7 choices 5n U?6 and percei!ed as a
shift to a more generati!e, life8gi!ing state 5n U >6$ Other outcomes included enhanced
capabilities such as listening sDills 5n U @6 and enhanced client trust in their coach 5n U .6$
Summary
,articipants reported using acti!e listening almost e4clusi!ely, 7ith regular use of
empathetic, e4pansi!e, and transformati!e listening$ Reducti!e, critical, and transactional
listening 7ere used regularly by fe7er participants or on occasion and 7ith intention$
#eading descriptors for ho7 participants enacted listening 7as to do so 7ith their 7hole
bodies, to the 7hole person, at multiple le!els$ They also described practicing presence
57
and intention, as 7ell as e4tending 7armth, acceptance, and trust in the clientHs
capability$ Client outcomes of transformati!e listening included ne7 insights, meaningful
results and maDing ne7 choices, a shift to a more generati!e, life8gi!ing state, enhanced
listening capabilities, and enhanced trust in the coach$ Consultant outcomes of
transformati!e listening included ne7 insights and ensuing shifts in their manner of
in'uiry$ The ne4t chapter pro!ides a discussion of these results$
58
Chapter 5
Discussion
The purpose of the current in!estigation 7as to e4plore the potential connection
bet7een listening and client transformation 7ithin the conte4t of the client8consultant
helping relationship$ A focus of the research project is understanding the potential
distinction bet7een transactional listening and transformati!e listening, 7ith specific
interest in learning ho7 and if listening itself can be e4perienced as a po7erful catalyst of
transformation$ The main research 'uestion addressed in this 7orD is, I;hat are the
characteristics of the listening enacted by organi%ation de!elopment practitioners 7hile
engaged in consultingPK The follo7ing three research sub8'uestions 7ere also identified-
0$ ;hat types of listening are used and 7hat are their characteristicsP
.$ (n 7hat 7ays is listening enactedP
>$ ;hat are the effects of transformati!e listening on consultants and clientsP
This chapter presents and discusses Dey findings related to the results from
e4amining the abo!e research 'uestions$ (mplications for listening theory,
recommendations for practitioners and leaders, limitations of the study, and directions for
future research are subse'uently presented$
Overview of Key Findings
Nine Dey findings 7ere generated from the data that 7ere collected and analy%ed
in the present in!estigation$ An o!er!ie7 of Dey findings is presenting in Table 00$ ;hat
has emerged from the rich, 'ualitati!e data of this study is a ne7 understanding of the
transformati!e and catalytic role that listening plays in the client8consultant relationship$
Table 11
!ummary of "ey #indings $y Research %uestion
2ey inding
59
Research =uestion 0- Types of #istening
0$ The engaged, focused attention of acti!e listening is a fundamental characteristic present all
listening approaches used by O* practitioners$
.$ O* practitioner listening is distinguished by three primary listening approaches that are used
regularly- acti!e, empathetic, and e4pansi!e listening$
>$ O* practitioner listening is also distinguished by t7o secondary listening approaches that are
used occasionally and 7ith intention- critical and reducti!e listening$
1$ Transactional listening is a useful descriptor for listening used in the transaction of routine
business, 7here clarity, structure, e4ecution, and action demand critical and reducti!e listening
orientations$
?$ Transformati!e listening is useful descriptor for O* practitioner listening that results in client
transformation and may be defined as the adapti!e mi4 of primary 5acti!e, empathetic,
e4pansi!e6 and secondary 5critical, reducti!e6 listening approaches used in a repeating process
of in'uiry that tends to transform or change a client system$
Research =uestion .- ;ays #istening is Enacted
@$ 9se of self is the foundation for listening in O* practitioners and informs most acti!ities or
actions taDen during the listening process$
A$ A core aspect of O* practitioner listening is an adapti!e moderation and mi4 of listening in
highest ser!ice to the client$
Research =uestion >- Effects of Transformati!e #istening
B- A core outcome of the three primary listening approaches may be described as a
transformation of perspecti!e- client ability to reframe presenting problems depends on trust in
the helping relationship, !alidation of client e4perience, and insight from e4ploration of
alternati!e perspecti!es$
C$ A core outcome of the t7o secondary listening approaches may be described as a
transformation of beha!ior- insight must be translated into the language of the client and
e4ecuted in action that increases effecti!eness of the client system$
1. Active listening as a common orientation$ The first Dey finding of the study is
that engaged, focused attention is the single, common characteristic to all listening
approaches used by O* practitioners during client engagement$ Attention has been
defined in the literature as a mental state in!ol!ing intense !oluntary direction and
60
concentration of consciousness upon a person or object 5arro7, 0C@>6$ or purposes of
the present in!estigation, acti!e listening 7as portrayed as a generic listening modality
characteri%ed by engaged, focused attention, rather than the specific communication
techni'ue commonly used in counseling, training, and conflict resolution$ Acti!e
listening has been distinguished in the literature for its capacity to greatly reduce
communication error, challenge preconcei!ed assumptions, and create common ground in
communicati!e e4change 5,urdy, .//B6$
The findings of the present study related to acti!e listening are congruent 7ith the
literature$ Together, these suggest that it is important for O* practitioners to bring
engaged, focused attention to their listening in helping relationshipsM passi!e listening is
not recommended$ Reflecting on her o7n practice, one participant 7ith a bacDground in
academic research and organi%ational beha!ior offered a substanti!e perspecti!e in
summary of this Dey finding-
Engaged, focused attention is pretty critical to my practice$ (Hm going bacD
to the literature on 7hat QmaDesR an effecti!e client relationship in therapeutic
relationships, and the data suggest that if you control for the type of therapy
somebodyHs engaged in, then 7hat really matters is the relationship bet7een the
therapist and the client$ And ( thinD thatHs true in O* as 7ell$
Any Dind of human systems inter!ention at the indi!idual or group le!el is
as much a success because the practitioner is focused, attuned, and fully present
as any particular model the practitioner is using$ ThatHs my belief, and ( thinD
thereHs some research that supports it$
2. Three primary listening approaches$ The second Dey finding of the study is
that O* practitioner listening is distinguished by three primary listening approaches that
are used regularly during client engagement- acti!e, empathetic, and e4pansi!e listening$
The defining characteristics of these three primary listening approaches are engaged,
focused attention, empathy, and insight, respecti!ely$
61
Support from the literature related to acti!e listening 7as discussed in 2ey
inding 0$ indings of the present study on empathetic listening also appear to be largely
supported by the literature$ ,articipants of this study described characteristics of the
empathetic listening they use in their practices$ These largely mirrored the person8
centered characteristics of empathetic listeners outlined by ,icDering 50CB@6$ Empathy
in!ol!es identifying 7ith another person on an intuiti!e, emotional le!el 5<obart and
ahlberg, 0C@?6$ (n the conte4t of helping relationships, the process of cogniti!e
reappraisal and a subse'uent opening for clients to reframe their presenting problems are
set in motion by the generous and profoundly simple act of listening$ ;hen grounded in
intentionality and emotional attunement, empathetic listening helps clear the space to
in!ite client transformation$
E4pansi!e listening, according to the literature, !alues curiosity, disco!ery, and
e4plorationM it is dri!en by insight and in!ites alternati!e perspecti!es 5Treasure, ./006$
unctional Magnetic Resonance (maging 5fMR(6 of the mental function of clients during
e4ecuti!e coaching sessions confirmed insight as a central feature of effecti!e coaching
5RocD G Sch7art%, .//@6$ indings of the present study on e4pansi!e listening are
supported by research in brain8based coaching that portrays insight as the fundamental
antecedent to change readiness in the client system$
3. Two secondary listening approaches$ The third Dey finding of the study is
that O* practitioner listening is also distinguished by t7o secondary listening
approaches, 7hich are used occasionally and 7ith specific intention$ The defining
characteristics are clarity and structure for critical listening, and e4ecution and action for
reducti!e listening$
62
(n critical listening, ;ol!in and CoaDley 50CC@6 describe the listener using
judgment to compare and determine the !alue, 'uality, and !alidity of informational
transactions$ Se!eral participants of the present study, ho7e!er, ad!ocated the opposite,
e4plaining the importance of suspending critical judgment in the conte4t of the helping
relationship$ The literature further portrays critical listening as the continuous application
of conscious filters to communication to sort 7hat is retained and 7hat is discarded
5Treasure, ./006$ &ased on the ma4im in process consultation that e!erything is data
5Schein, 0CCC6, O* consultants do not liDely discard information$ On the contrary,
practitioners retain data and, as reported in this study, listen for inconsistencies bet7een
the client narrati!e and the internal criteria de!eloped from stored data o!er time$
urthermore, 7hen used constructi!ely and 7ith the intention of highest ser!ice,
participants described their e4perience of critical listening as discernment$ This Dey
distinction sheds light on the fundamental difference in ho7 this listening modality is
used and e4perienced in the conte4t of helping relationships$ (t 7as elucidated by 00-
( thinD the benefit of the critical judgment is the 7ord discern. *iscern means you
sort through to find !alue in 7hat Qa clientR is saying$ This is critical not in the
sense of judging, but in the sense of 7eighing 7hat somebodyHs saying 7ith the
conte4t, 7ith 7hat you Dno7 about the person, and 7ith the intention that is in the
relationship$ So ( can be !ery discerning and critical in a con!ersation 7ith
someone 7ho has gi!en me information about 7hat they 7ould liDe to be doing
and 7here 7eH!e set some beha!ioral standards and they 7ant my support as a
coach$ ( can be incredibly critical in a positi!e 7ay$
(n reducti!e listening, according to the literature, incoming information is judged
for its immediate usefulness in achie!ing goals, 7ith all irrele!ant information discarded
5Treasure, ./006$ Critical and reducti!e listening are percei!ed as the t7o most common
orientations used in the transaction of routine business$ Reducti!e listening is appropriate
for e4ecution and action, as 7ell as problem sol!ing and getting to Tthe point$H The
63
literature portrays cogniti!e impasse as a problem8sol!ing loop that is fed by repeat
application of incorrect strategies that ultimately pre!ent insight 5Schooler, Ohlsson, G
&rooDs, 0CC>6$ acing the !olatile, uncertain, comple4, and ambiguous realities of the
modern business en!ironment, o!eruse of default critical and reducti!e approaches to
problems may inad!ertently compromise the effecti!eness of todayHs leaders$
Results from the present study depart from ho7 the literature portrays more
common usage of critical and reducti!e listening$ The significant contribution here is the
particular and judicious manner in 7hich coaches enact these secondary listening
approaches$ (mplemented 7ith greater intentionality, O* practitioners temper their
critical listening 7ith empathy and balance their reducti!e listening 7ith e4pansi!e
e4ploration and insight$
4. Transactional listening$ The fourth Dey finding of the research project is that
transactional listening is a useful descriptor for listening used in the transaction of routine
business$ (n these conte4ts, the appropriate mi4 of critical and reducti!e listening
orientations achie!es clarity and structure, as 7ell as e4ecution and action$ Compared to
its primary and regularly8used counterpartWWtransformati!e listeningWWtransactional
listening functions as a secondary listening approach that is used by coaches 7ith targeted
intentionality$ I;here transactional listening plugs into my 7orD,K e4plained 0, Iis that
point in the coaching con!ersation 7here e4pansi!e shifts to reducti!e listeningM the
transactional piece is 7here youHre listening 7ith clarity to help the client nail do7n ho7
they are going to taDe action, the scope of 7hat they are going to do and by 7hen$K As the
default listening of e!eryday business, it may be more comfortable or familiar for clients
to stay at a transactional le!el of e4change$ Consultants, ho7e!er, must Dno7 ho7 and
7hen to mo!e into deeper le!els of communication$ I(f youHre just listening
64
transactionally at the surface8le!el content,K the participant continued, Iyou donHt hear
the game changers that can blo7 e!erything 7ide open$K
(n the literature, transactional listening described settings in 7hich the listener has
limited opportunity to interfere or collaborate 7ith the speaDer in negotiating the meaning
of the message 5(mhof, 0CCB6$ ,articipants of the present study helped to distinguish
theory from real 7orld application, 7here characteristics of this listening resemble
characteristics of a transactional style of leadership 5&urns, 0CAB6$ 9sed by practitioners
for contracting and coaching agreements, transactional listening may be concei!ed of as
the listening most appropriate for transactional e4changes, for effecti!e negotiation, and
for clarity and e4ecution in agreements$
5. Transformative listening$ The fifth Dey finding of this study is that
transformati!e listening is useful descriptor for the O* practitioner listening that results
in client transformation$ The definition of this listening proposed in chapter . had focused
on only three of types of listening- acti!e, empathetic, and e4pansi!e$ Secondary listening
approaches had been discounted for their role in transformation$ &ased on study data,
ho7e!er, an updated 7orDing definition for transformati!e listening is the adaptive mix
of primary (active, empathetic, expansive) and secondary (critical, reductive) listening
approaches used in a repeating process of inquiry that tends to transform or change a
client system$ (ts three defining characteristics include engaged, focused attention,
empathy and emotional connection, and an openness to e4ploration and insight$
These defining characteristics are supported by the literature on transformational
styles of leadership$ Similar to the engaged, focused attention of acti!e listening,
transformational leaders demonstrate care for indi!idual employee needs and
de!elopment 5A!lio, 0CCCM &ass, 0CB?6$ The trust and emotional connection possible
65
from empathetic listening resemble the strong, trusting relationship that is moti!ational to
transformational leaders and their follo7ers 5*o7nton, 0CA>6$ #astly, transformational
leadership enables follo7ers to reflect on circumstances in a similar manner to e4pansi!e
listening$ As leaders acti!ate higher moti!e de!elopment and appeal to an inspired !ision
of the future, follo7ers are energi%ed to action 5&ass, 0CB?6$ &rain8based coaching has
substantiated that insight gi!es off substantial energy and e!oDes a state of intense
moti!ation and action8readiness 5RocD, .//@6$ A note7orthy response from 0 e4plains
ho7 transformation occurs in practitioner and client listening aliDe-
TransformaQti!eR listening is listening for aspects of a con!ersation that
become game changers for the client$ &ecause (Hm listening for it, (Hll hear
something that ( can use as the linchpin to help a client shift the con!ersation, the
7ay theyHre thinDing, and ho7 theyHre operating$ (f youHre just listening
transactionally at the surface8le!el content, you donHt hear the game changers that
can blo7 e!erything 7ide open$
Transformational listening happens on the client side too$ They come in
facing a problem and listening and thinDing in a reducti!e 7ay$ O!er the course of
our interaction as they shift into an e4pansi!e mode, insight becomes possible and
they start listening in a 7ay that is open to ne7 solutions that had ne!er occurred
to them before$ (n a certain sense, the practitioner is opening up the client to be in
a place of listening transformationally$
Another 7ay of looDing at it is that transformaQti!eR listening in!ites a
shift in ho7 the client is listening to themsel!es, 7here they mo!e from a
transactional le!el to the deeper le!el 7here transformation is possible$
6. The role of self as instrument$ The si4th Dey finding of the study is that use of
self is the foundation for listening in O* practitioners$ Self as instrument is the common
denominator to most actions taDen during the listening process, as e4pressed by .- IThe
core of the issue is around use of self$ ;hen ( sit 7ith a client, my intention is to be a
particular Dind of presence that enables them to ha!e that transformational moment$K
The literature describes a7areness and management of oneself as use of self or
self as instrument 5SA(6 sDills, 7hich comprise a central competency in helping
professions$ O* practitioners naturally ha!e their o7n internal and e4ternal reactions to
66
communicati!e e4changes 7ith clients, 7hich, in turn, affect practitioner ability to be
helpful 5:amieson, Auron, G Schechtman, ./006$ C e4plained, I(f (Hm fully identified
7ith my judgment and (Hm not a7are that (Hm fully identified 7ith it as my current filter
and mode, thatHs 7here ( can get in my o7n 7ay$K
,ractitioner ability to access a full range of data a!ailable on multiple le!els
depends on the use of self$ ,robing deeper into the phenomenological e4perience of their
listening, many participants described a certain 7ay of being or presence on their part$
*escribed in the literature as Iho7 7e sho7 upK 5:amieson et al$, ./006, this presence
helps create a container safe enough for clients to e4plore alternati!e 7ays of looDing at
their issues$ IThe ability to really step outside of yourself to be truly reflecti!e to
understand 7hatHs happening in the moment is rare,K e4plained 00, IitHs just uncommon,
probably less than 0/L of the population$K Schein 50CCC6 asserted that consultantsH use of
SA(8related abilities 7ere necessary for building effecti!e helping relationships in 7hich
clients could e4plore their o7n core issues$ Results from the present study 7ere largely
supported by the literature$ ,articularly germane is the e4planation offered by one
participant 7ho is a graduate8le!el professor of organi%ation de!elopment-
;hatHs critical here is the le!el of consciousness on the part of the
practitioner or leader, because if (Hm defaulting unconsciously into either one of
those QlisteningR stylesWWif ( ha!e a default preference, 7hich is typical and most
of us doWWthen (Hm liDely to use an inappropriate listening mi4$ (Hm liDely to be
mismatched bet7een 7hat the client needs and 7hat (Hm pro!iding$
;hatHs Dey is the le!el of indi!idual consciousness$ (f (Hm operating out of
fear, then (Hm probably going to default to something thatHs less appropriate$ (f (
feel liDe my status is threatened, then (Hll go to 7hat ( Dno7, !ersus 7hat the
situation might call for$
7. Adaptive moderation and mix of listening approaches$ The se!enth Dey
finding of the study is that O* practitioners employ adapti!e moderation to their choice
and mi4 of listening approaches$ 9se of self and acti!ities or actions taDen during the
67
listening process pro!ide the sensiti!ity and agility re'uired of transformati!e listening$
0/ e4plained her e4perience- IJOnce youH!e gotten practice and e4perience, it becomes
more intuiti!e and automatic, and youHre simply obser!ing the process and occasionally
reflecting on ho7 and 7hen to shift the energy$ &eing a7are and intentional in mo!ing
bet7een empathetic, critical, e4pansi!e, and reducti!e listening is important$K
rom the literature, listening competency has pre!iously been defined as
adaptation to situations in order to accomplish directed outcomes through communication
5Cooley G Roach, 0CB16$ (n the present in!estigation, transformati!e listening 7as found
to incorporate nearly all of the listening modalities e4amined- acti!e, critical, empathetic,
reducti!e, e4pansi!e, and transactional$ Effecti!e O* practitioners must remain agile and
capable of adapting their listening approach to the emerging needs of each client,
situation, and coaching dynamic$ The !ie7s of C offered a refined e4planation-
The highest le!el of mastery in listening incorporates all the le!els beneath it and
co!ers all the different Dinds of listening youHre e4ploring in your researchWW
acti!e, critical and empathetic, reducti!e and e4pansi!eWWbut it does so in a 7ay
that is unconsciously competent$ <ere the listening is able to flo7 e4actly 7here
the client needs to go, and it doesnHt hold one Dind of listening as better than
another$ Mastery for me is intuiti!ely Dno7ing ho7 and 7hen to mo!e to
7hate!er listening is of highest ser!ice in support of the client in the moment$
Se!eral participants percei!ed a polarity bet7een seemingly opposite listening
modalities$ The same participant abo!e e4plained the adapti!e listening agility needed to
mo!e bet7een e4pansi!e and reducti!e listening-
There truly is a polarity bet7een the e4pansi!e and reducti!e that is in play all the
time, and as a practitioner, 7eHre just 7orDing one side or the other of this
polarity$ ThereHs a fluidity in the polarity$ Con!ersation, listening, and human
interaction by nature are not static, they canHt be$ So thereHs no inherent set point
of tension in the polarity bet7een e4pansi!e and reducti!e$ (n order for me to
help, ( ha!e to be a7are of ho7 and 7hen the con!ersation may need to shift bacD
and forth 7ithin the polarity$
68
&eing of highest ser!ice to the transformation of the client system appears to
re'uire a greater degree of sensiti!ity, agility, neural integration, and use of self than may
be demanded of the more common and default listening used in the transaction of
e!eryday business$ (f listening is fundamentally a process of e4traction 5Treasure, ./006,
then different listening approaches e4tract different perspecti!es and conclusions, 7hich
in turn produce different client interactions and, ultimately, different results$ (t can be
posited that abo!e all, intuiti!ely Dno7ing ho7 and 7hen to moderate oneHs listening may
be one of the most important aspects of being an effecti!e O* practitioner$
8. Transformation of perspective. A direct effect of the three primary listening
approaches may be described as a transformation of perspecti!e, 7hich participant 0
described this 7ay- I(n a certain respect, itHs the clientHs listening and thinDing that is
transforming$K Compared to the lesser use of secondary listening approaches, a majority
of practitioner time and attention is regularly dedicated to shifting ho7 clients percei!e
their o7n circumstances$ According to study data, insight is the single, most common
effect of transformati!e listening$ Client ability to reframe and hear their o7n situation in
a ne7 7ay depends on trust in the helping relationship, !alidation of client e4perience,
and e4ploration of alternati!e perspecti!es$ These outcomes directly linD to acti!e,
empathetic, and e4pansi!e listening$ A contribution from C s'uarely captures this finding-
( thinD of transformation as mo!ing from one 7ay of being to another, from one
belief system to adopting another$ (tHs not just putting a ne7 process in place, itHs
being able to see the 7orld through ne7 eyes$ &y definition a transformation in
perspecti!e pro!ides insight and solution 7here operating at a transactional le!el
cannot$
As supported in the literature on brain8based coaching, RocD and Sch7art% 5.//@6
used fMR( scans to !alidate insight as a defining outcome of effecti!e coaching$ The
e4perience of insight is characteri%ed by a lacD of logical progression to the solution but
69
instead a sudden IDno7ingK regarding the ans7erM the solution is simultaneously ob!ious
yet surprising, and is recogni%ed 7ith confidence 7hen it arri!es 5&o7den, &eeman,
lecD, G 2ounios, .//?6$ Restated, insight is not accessed by the default critical and
reducti!e listening orientations used to sol!e problems and get things done in business$
Results of the present study reflect the literature, as further e4plained by C-
Emotion dri!es beha!ioral change$ All transformation has an emotional
component to itWWa somatic component to it as 7ellWWand these are felt in the
body$ ;hat is felt generally is not associated 7ith parts of the brain that are
critical and reducti!e$ So 7hen my relationship 7ith a client gets to the point
7here emotional and somatic aspects are present and it becomes highly personal,
the opening that occurs is absolutely generated by empathetic listening$
The literature on brain8based coaching similarly portrays the ah-ha! moment of
insight as less logical and more !isceral and emotional by nature, punctuated by aspects
of recognition, ne7 mental or perceptual connections that had not been present before,
and a cogniti!e energetic release that is e4perienced as moti!ation, change readiness, and
an internal call to action 5RocD G Sch7art%, .//@6$ 0 refines understanding-
9sually, thereHs a shift in direction of a clientHs thinDing, 7here t7o things get
connected that had ne!er been connected beforeM people e4perience this ah8haO
*ra7ing that relationship and maDing that connection feels liDe plugging in both
ends of a po7er cord and getting the electrical sparD that 7as needed to maDe the
transformation happen$ Another important part is that the ah8ha resonates 7ith
such truth to a client that they canHt help but pay attention to it$ (tHs the ah8ha that
leads them do7n the path of taDing action to achie!e the result that they 7ant$
,erceptions in the present study directly align 7ith ho7 insight and
transformation are portrayed in the literature$ As 0 eluded, ho7e!er, data from this study
suggest that insight may be only part of the process$ A contribution of this study is refined
distinction in ho7 coaches themsel!es e4perience client transformation$ The second and
e'ually significant part of the transformation process is presented in the final Dey finding
of this in!estigation$
70
9. Transformation of behavior$ The ninth and final Dey finding of this study
re!eals a dual nature to transformation itself$ 2ey inding B illustrated the essential role
of insight in 7hat 7as portrayed as a transformation of perspecti!e$ *ata from the present
in!estigation portrayed t7o primary effects of transformati!e listening, one centering on
insight, and the second indicating a shift into action$ 2ey inding C is that lasting and
effecti!e client transformation depends on 7hat may be called a transformation of
beha!ior$ This finding 7as clearly articulated by ,articipant 0/-
(nsight feels liDe a metaphysical shift in reality, 7here an opening occurs
or ne7 possibility is seen that 7asnHt there before$ (nsights are !ery ephemeral,
and if you donHt help clients anchor them do7n, they lose them$ :ust Dno7ing or
thinDing something doesnHt turn into beha!ioral change, and 7ithout turning
around and applying the insight to real life dynamics or circumstances, it 7onHt
stay po7erful and meaningful to the client$
;ithout action, an insight doesnHt get embedded into oneHs ner!ous system
so that they can use and access it o!er and o!er$ (tHs 7here the rubber meets the
road, so you al7ays need to anchor the insight through a reducti!e process that
has client apply the insight to their choice of 7hat to do ne4t$
9sed 7ith targeted intentionality, it is the secondary listening approachesWW
critical, reducti!e, and transactionalWWthat anchor insight into beha!ior change through
clarity, accountability in agreements, and e4ecution of actions taDen in bet7een coaching
sessions$ This illustrates a fundamental difference bet7een e4ecuti!e coaching and
psychotherapy$ (n therapeutic relationships, counselors stri!e to practice the suspension
of judgment and goal orientation in order to prioriti%e emotional understanding 5Rogers,
0C@06$ (n coaching relationships, ho7e!er, O* practitioners must demonstrate empathy,
yet remain grounded in the communicati!e norms and business objecti!es that align 7ith
increased effecti!eness$ A final contribution from C dri!es this point home-
or coaching and O* facilitation thereHs a polarity bet7een the in'uiry, the
processing, the depth, and the soulJ$and the linearity of e4ecution$ Empathetic
listening and deepening the relationship has to happen first, and a coach
intuiti!ely needs to Dno7 7hen to radically alter the client relationship by taDing
71
it to a deeper le!el$ ;ithin this conte4t, transformation is much more liDely to
occur on an indi!idual emotional le!el than if 7e Deep things at a logical, linear,
or 'uantitati!e le!el$ ;hatHs e'ually important though is for the practitioner or
coach to Dno7 ho7 to translate things to the language of the client and 7hen to
put structure in place in order to mo!e to e4ecution and action$
Implications for Listening Theory
As a relati!ely ne7 area of scientific in'uiry, listening theory is still in its
adolescence$ Empirical research can be trisected into three phases of de!elopment o!er
the past @/ years- information processing, listening competence, and personal factors or
biases$ The literature is messy, incongruous, and multidisciplinary at best, dra7ing from
communication, linguistics, psychology, anthropology, and management 5&odie et al$,
.//B6$ This gro7ing field of research is already a source of contention bet7een listening
scholars due to the comple4 and highly subjecti!e nature of listening itself$
Embedded 7ithin the inter!ie7 protocol of this project 7as a probe 'uestion
in!iting participants to share any uni'ue listening modalities they might use in their
practice$ Responses did not generate usable themes germane to the three core research
'uestions, and 7ere not presented as results of this thesis$ rom select participant
responses, ho7e!er, an e!ocati!e theme emerges$
,articipant 00 described her use of mindful listening, as Ibeing fully present in the
moment 7ithout judgment and 7ithout any intention of Qthe con!ersationR going a
particular 7ay$K ,articipant 1 made a recommendation for appreciati!e listening-
Iocusing on 7hat a person is doing 7ell helps them see that they can do it again$K
,articipant . shared, Ior me thereHs an aspect of holistic listening that goes beyond just
the language$ ThereHs the body, the emotional layer, as 7ell as the contentM there are many
layers of listening going on at the same time$K ,articipant 0/ added, I( sometimes support
72
clients 7ith generous listening to help them impro!e the 'uality of their relationships by
impro!ing the generosity of their listening$K
Se!eral obser!ations may be made here$ Some participants described their
listening in terms of its process 5mindful and holistic6 and others in terms of its effect
5appreciati!e and generous6$ The trend in listening research e4ploring personal factors or
biases does little to e4plain differences in ho7 listening is subjecti!ely e4perienced 5i$e$,
in terms of process !ersus effect6$ ;hat is common to this collection of other7ise
uncommon Dinds of listening is that each s'uarely describes a clear intentionality to the
focus of attention in the process$ #istening is fundamentally a process of e4traction
5Treasure, ./006$ That to 7hich one gi!es intentional attention e4pands in a7areness yet
sharpens in discernment$ As data of the present study re!ealed, listening is often
e4perienced on some le!el by both the listener and the person being listened to$ There is a
simultaneity in the relationship bet7een intention 5or cause6 and effect in listeningM the
t7o are !irtually ine4tricable$
;hat starts to become e!ident as a potential contribution to listening theory is the
causal and impactful nature of listening 7hen practiced as the intersection of intention,
attention, and e4traction$ urthermore, 7hat this offers to practitioners in the field of O*,
to leaders of organi%ations, and to members of the helping profession is a deeper
understanding of the causal and generati!e nature of listening$ Though under!alued and
o!erlooDed, the act of listening may indeed be one of the most subtle, accessible, and
po7erful inter!entions at our disposal$
igure 0 presents a Model for Transformati!e #istening as a !isual representation
of some of the Dey findings of this study$ O* practitioners regularly use three primary
listening approaches 5acti!e, empathetic, and e4pansi!e listening6 to dri!e insight and
#igure &
A 'odel for Transformative Listening
igure 0 portrays a !isual representation of some of the Dey learnings of the in!estigation$
Active, empathetic, and expansivelistening are the three primary listening
orientations used regularly by O* practitioners in small systems engagements$
Together these together generate a transformation of perspectivein clients$
Transactional listeningis comprised of critical and reductivelistening, the
t7o secondary listening orientations used 7ith intention by O* practitioners$
Together these orientations generate a transformation of behavior in clients$
Transformative listening may be defined as the adapti!e mi4 of primary 5acti!e,
empathetic, e4pansi!e6 and secondary 5critical, reducti!e6 listening orientations
used in a repeating process of in'uiry that tends to transform a client system$
Transforma ve
Listening
Transac onal Listening
73
help clients transform their perspecti!es$ ,ractitioners subse'uently use t7o secondary
listening approaches 5critical and reducti!e listening6 to anchor insight into action and
help clients transform their beha!ior$ Transformati!e listening describes the repeating
process of in'uiry that blends primary and secondary listening approaches and tends to
transform client perspecti!es and beha!ior$ Con!ersely, transactional listening describes a
listening approach appropriate for the negotiation and e4ecution of agreements in the
transaction of routine business$ 9se of self fosters sensiti!ity to client needs and
practitioner agility in blending the listening approaches used in transformati!e listening$
Figure 1. A Model for Transformative Listening
Three primary listening
approaches (active,
empathetic, and
expansive) drive
insight and result in
transformation of
client perspective(
T)o secondary
listening approaches
(critical and reductive)
anchor insight to
action and result in
transformation of
client *ehavior(
Transformative Listening+
he repeating process o!
in"uir# $lending primar# and
secondar# listening approaches
that result in trans!ormation o!
client perspectives and $ehavior.
Implications for Managers, Leaders, and Organization Development Practitioners
2ey learnings of this research project ha!e implications for O* practitioners and
those in leadership positions$ Effecti!eness in transactional listening may be honed and
de!eloped 7hen managers !alue this listening not only in terms of outcomes, but as a
74
practice 7orthy of rigor at the le!els of intention, attention, and e4traction$ Transactional
listening is an e4cellent and appropriate tool for planning, managing, and getting things
done in the operation of routine, day8to8day business$ Critical and reducti!e listening
orientations can benefit from judicious balance 7ith their respecti!e empathetic and
e4pansi!e counterparts$ (t is important for managers and leaders to Dno7 the appropriate
listening mi4 to best achie!e business outcomes during routine operation in stable
en!ironments$
#eaders, ho7e!er, cannot escape the constant of +9CA forces, 7hich dri!e the
demand for inno!ation and need for organi%ational change$ (n these conte4ts, applying
transactional listening inappropriately may be as ineffecti!e and unhelpful as applying
inappropriate transactional leadership$ #iDe practitioners of O*, leaders are agents of
change$ (t is incumbent for them to Dno7 ho7 and 7hen to foster transformation in
human systems, especially in the face of unstable, dynamic en!ironments$ +eterans in the
field of O* 7ho clearly understand the connection bet7een listening and transformation
can challenge themsel!es to refine and better distinguish transformati!e listening so that
it may be effecti!ely transferred as a capacity of !alue to the leaders and client systems
they ser!e$
or practitioners of O*, a terse summary of recommendations includes almost
e4clusi!e use of acti!e listeningM passi!e listening is not recommended$ *e!elopment of
self as instrument is a critical component of listening that helps to remo!e bias, increase
percepti!eness, and maintain the sensiti!ity needed to moderate oneHs listening in highest
ser!ice to the client$ Aiming attention and in'uiry at the !arious listening modalities
presented in this study 7ill deepen understanding of ho7 and 7hen to use them, as 7ell
as the outcomes associated 7ith each$
75
Limitations
Se!eral limitations of the in!estigation should be acDno7ledged$ irst, this study
utili%ed a small sample of participants 5n U 006, and thus 7as e4ploratory in nature$ The
professional bacDground of participants 7as limited to practitioners in the field of
organi%ation de!elopment, so it is difficult to predict if study results are generali%able
beyond the narro7 setting of the research project$ To !alidate study findings, a
'uantitati!e sur!ey instrument could ha!e been useful for accessing a 7ider and more
professionally di!erse sample$ A follo78up sur!ey could ha!e also gathered additional
rele!ant data, such as inter!ie7ee insights, learnings, and reflections on their e4perience
of the inter!ie7 process itself as an inter!ention$
Second, not all participants 7ere familiar 7ith the listening modalities as defined
and used in this study$ More time than e4pected 7as spent clarifying these definitions$
The differences bet7een !arious types of listening may not ha!e been clear to some
participants$ or e4ample, participant perceptions that critical listening supports an action
orientation are not bacDed by the literatureM this characteristic more commonly describes
reducti!e listening$ Though listening definitions had been emailed to participants and
repeated !erbally in the inter!ie7 process, additional precautions could ha!e been taDen
to assure comprehension$ The study could ha!e also simplified definitions to laymanHs
terms and included e4amples of common usage$
A third limitation of the study may ha!e been the construct itself of listening
dimensions$ These 7ere used to introduce pairs of related approaches, such as passi!e
and acti!e$ *epicting these as opposites on a continuum may ha!e inad!ertently
suggested a mutual e4clusi!ity to their usage$ (n this 7ay, findings around use of critical
listening re!ealed an unpredicted insight for the in!estigator$ +ie7ed and presented as a
76
continuum bet7een empathetic listening 5free of e!aluation6 and critical listening
5e!aluati!e, yet lacDing in empathy6, one necessarily dra7s binary, either8or conclusions$
As depicted in chapter 1 results, the unanimous regular use reported for empathetic
listening could lead one to predict a predominant non8use of critical listening, ho7e!er
only 0 participant reported that they ne!er or rarely use critical listening$ ;hat is unclear
here is ho7 this or other responses may ha!e been affected by bias inherent in the
construct and presentation chosen for the inter!ie7 protocol$
Directions for Future Research
This study identified four areas of possible future research$ A primary direction
for research is to e4amine 7hether participant demographics such as age, gender,
educational le!el, or ethnicity moderate listening capacity, sDills, and preferred style$
E4amining these moderators 7ould be helpful for more deeply understanding 7hat traits
and bacDgrounds may prepare helping professionals to be particularly gifted at engaging
in transformati!e listening and 7ho might need additional e4periences and training to
reach that le!el of listening competency$ Appropriate training and education could then
be de!eloped accordingly$
Another suggestion for further in!estigation is conducting field research 7here
coaching sessions are recorded, after 7hich both consultant and clients are inter!ie7ed
during playbacD sessions to gather impressions, e4periences, and meaning maDing
regarding the interaction$ This approach could enable data collection from both
practitioner and client perspecti!es in order to help control for self8report bias$
A third suggestion is to e4amine the role played by self a7areness and use of self
in different listening modalities, including potential practices that connect self as
77
instrument to listening$ indings from such in!estigation could lead to best practices for
consultants in continually de!eloping their mastery of listening$
A fourth suggestion is to e4amine the mechanisms used by practitioners 7hereby
they are able to simultaneously enact seemingly opposing styles of listening 5e$g$, critical
and empathetic6$ indings from such a study could illuminate ho7 listening as a comple4
communication beha!ior may be more effecti!ely taught or transferred to client systems$
Summary
The purpose of the current in!estigation 7as to e4plore the potential connection
bet7een listening and client transformation 7ithin the conte4t of the client8consultant
helping relationship$ A 'ualitati!e descripti!e research design 7as used and 00
e4perienced coaches and consultants 7ere inter!ie7ed$ An inducti!e approach to data
analysis 7as used to determine themes$ ,articipants reported using acti!e listening almost
e4clusi!ely, 7ith regular use of empathetic, e4pansi!e, and transformati!e listening$
Reducti!e, critical, and transactional listening 7ere used regularly by fe7er participants
or only on occasion and 7ith intention$ #eading descriptors for ho7 participants enacted
listening 7as to do so 7ith their 7hole bodies, to the 7hole person, at multiple le!els$
They also described practicing presence and intention, as 7ell as e4tending 7armth,
acceptance, and trust in the clientHs capability$
Outcomes of transformati!e listening included ne7 insights for consultants and
clients, as 7ell as shifts in the consultantHs manner of in'uiry$ Outcomes for the client
also included enhanced capabilities such as listening, meaningful results and maDing ne7
choices, a shift to a more generati!e, life8gi!ing state, and enhanced trust in the coach$
Nine Dey findings 7ere dra7n from the results- 5a6 acti!e listening is a
fundamental characteristic present all listening approaches used by O* practitionersM 5b6
78
three primary listening approaches used regularly by consultants are acti!e, empathetic,
and e4pansi!e listeningM 5c6 t7o secondary listening approaches used occasionally and
7ith intention by consultants are critical and reducti!e listeningM 5d6 transactional
listening describes a listening approach appropriate for the negotiation and e4ecution of
agreements in the transaction of routine business, 7here clarity, structure, e4ecution, and
action demand critical and reducti!e listening orientationsM 5e6 transformati!e listening is
useful descriptor for O* practitioner listening that results in client transformation and
may be defined as the repeating process of in'uiry that blends primary and secondary
listening approaches and tends to transform client perspecti!es and beha!iorM 5f6 use of
self is the foundation for listening in O* practitioners and informs most acti!ities or
actions taDen during the listening processM 5g6 adapti!e moderation and mi4 of listening
may be the consultantHs highest ser!ice to the clientM 5h6 the three primary listening
approaches lead to transformation of client perspecti!eM and 5i6 the t7o secondary
listening approaches lead to transformation of client beha!ior$
&ased on these findings, a model of transformati!e listening 7as offered$ More
research is recommended to e4amine 7hether participant demographics moderate
listening approach and to further e4amine listening from multiple perspecti!es$
79
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86
Appendix: Interview Script
Demographics
0$ Age-
.$ "ender-
>$ 3ears practicing in the field of O*-
1$ Currently practicing or retired-
?$ Total years in consultingShelping profession-
Warm-up Questions
@$ Can you tell me about your 7orD in the field of O* as it specifically relates to
e4ecuti!e coaching andSor consulting engagements 7ith small systems or in 08on8
0 engagementsP
+ossi.le pro.e questions (if needed)"
A$ *escribe your clientele$ (s there a typical Dind of client you ser!e in your
practiceP
B$ ;hat are the presenting problems for 7hich clients seeD your helpP
C$ ;hat is your typical approachP

or the present study, 7e 7ill focus on a particular aspect of your 7orD, 7hich is the 7ay
that you listen 7hen you are 7orDing 7ith clients in 08on80 or small systems
engagements$ This study e4plores the potential connection bet7een practitioner listening
and client transformation$
or the first half of the inter!ie7, (Hd liDe to share three listening dimensions from the
research literature to understand their potential application to the listening you use in
client engagement$ (Hll define and approach each separately$ (Hm happy to repeat any
definition at any time$
Passive versus Active Listening
+assive listening has been described as listening 7ith passi!e attention and 7ithout
interaction, commentary, or e!aluation$ *ue to its lacD of engagement, passi!e listening
may be prone to distraction$ (t can be useful for information ac'uisition, ho7e!er, such as
7hen listening to lectures, reports, or instruction, 7here there is little participation in a
co8created meaning$
'ctive listening has been described as listening 7ith engaged, focused attentionM it may
include reflecting and summari%ing a message to reduce misinterpretation$ To oneHs
communication partner, active listening may communicate message reception, a shared
sense of understanding, and care for the speaDer8listener relationship$
2. Please tell me about your use, if any, of passive and/or active listening in client
engagement.

,ossible probe 'uestions 5if needed6-
87
A$ ;hat does it looDSsoundSfeel liDe 7hen you use these types of listeningP
&$ About 7hat percentage of your time do you use these types of listening 7ith
clientsP
C$ (n 7hat 7ays, if any, are these types of listening connected to client insight or
transformationP Dr more specifically, in 7hat 7ays, if any, is passi!e attention
!ersus engaged, focused attention connected to client insight or transformationP
Critical versus Empathetic Listening
(ritical listening has been described as listening 7ith critical judgment for the purpose of
discerning the 'uality, !alidity, or merit of information recei!ed$ (ritical listening
prioriti%es structure, order, and discipline in communication, independent of emotional
conte4t$
$mpathetic listening has been described as listening 7ithout critical judgmentM it may
used for the purpose of ha!ing a communication partner feel emotionally understood$
$mpathetic listening may produce a sense of care, support, and !alidation of oneHs
personal e4perience$
3. Please tell me about your use, if any, of critical and/or empathetic listening in
client engagement.
,ossible probe 'uestions 5if needed6-
A$ ;hat does it looDSsoundSfeel liDe 7hen you use these types of listeningP
&$ About 7hat percentage of your time do you use these types of listening 7ith
clientsP
C$ (n 7hat 7ays, if any, are these types of listening connected to client insight or
transformationP Dr more specifically, in 7hat 7ays, if any, are critical judgment
or empathy connected to client insight or transformationP
Reductive versus Expansive Listening
)eductive listening has been described as efficient, pragmatic, and destination8dri!en for
the purpose of accomplishing tasD and attaining closure$ )eductive listening prioriti%es
Tgetting to the pointH and may be useful in sol!ing problems andSor achie!ing immediate
outcomes$
$xpansive listening has been described as curiosity8dri!enM it prioriti%es reflection and the
e4ploration of ne7 ideas or different perspecti!es$ $xpansive listening is often associated
7ith brainstorming and may be useful for inspiring creati!ity, inno!ation, or insight$
4. Please tell me about your use, if any, of reductive and/or expansive listening in
client engagement.
,ossible probe 'uestions 5if needed6-
A$ ;hat does it looDSsoundSfeel liDe 7hen you use these types of listeningP
&$ About 7hat percentage of your time do you use these types of listening 7ith
clientsP
88
C$ (n 7hat 7ays, if any, are these types of listening connected to client insight or
transformationP Dr more specifically, in 7hat 7ays, if any, are communication
efficiency or reflecti!e e4ploration connected to client insight or transformationP
Other Types of Listening
5. What other types of listening do you use, if any, in client engagement?
,ossible probe 'uestions 5if needed6-
A$ ;hat does it looDSsoundSfeel liDe 7hen you use these types of listeningP
&$ About 7hat percentage of your time do you use these types of listening 7ith
clientsP
C$ (n 7hat 7ays, if any, are these types of listening connected to client insight or
transformationP
No7 that 7e ha!e discussed the three listening dimensions from the research literature,
the second half of our inter!ie7 7ill shift gears to introduce a potential 7ay to e4plore
listening$ rom research on leadership styles, 7eHll borro7 the terms transactional and
transformational to e4plore their potential application to the listening you use in client
engagement$
Transactional Listening
#ransactional listening may be described as listening for the purpose of transactional
e4change$ (t may be useful in contracting e4pectations or in negotiating re7ard or penalty
conditional upon the achie!ement of specific outcomes$
6. When you think about the listening used in the transaction of day-to-day routine
business, how different or similar is it to the listening you use in client engagement?
,ossible probe 'uestions 5if needed6-
&$ ;hat does it looDSsoundSfeel liDe 7hen or if you use transactional listeningP
C$ ;hat connections, if any, might you see bet7een transactional listening and some
of the presenting problems that clients seeD coaching to 7orD throughP Or rather,
is there any connection bet7een listening 5or the lacD thereof6 and the problems
people faceP
*$ ;hen or at 7hat phase5s6 might you use transactional listening, if at all, during
the course of client engagementP
E$ rom the research literature, 7hich types of listening, if any, might you associate
7ith transactional listening from the three listening dimensions pre!iously
described- passive !ersus active, critical !ersus empathetic, and reductive !ersus
expansive listeningP
Transformative or Transformational Listening
7. When you think about the various types of listening we`ve discussed, how would
you in your own words characterize transformative or transformational listening,
meaning the kind of listening which results in client insight, change, and
89
transformation?
,ossible probe 'uestions 5if needed6-
A$ ;hat does it looDSsoundSfeel liDe 7hen you listen in this 7ayP
&$ rom the research literature, 7hich types of listening, if any, might you associate
7ith transformative or transformational listening from the three listening
dimensions pre!iously described- passive !ersus active, critical !ersus
empathetic, and reductive !ersus expansive listeningP
C$ ;hat is the relationship, if any, bet7een 'uality, Dind, and caliber of listening and
client insight or transformationP
*$ ;hat differences, if any, do you e4perience in yourself 7hen you listen in this
7ayP
E$ ;hat role, if any, does intentionality play in this Dind of listeningP
$ ;hat do you thinD is actually transforming hereP
"$ ;hat outcomes ha!e you or your clients achie!ed as a result of this Dind of
listeningP

8. People can often best speak to experience they have had for themselves. I`m
curious if you have ever had your own experience of transformation or insight as a
result of the way someone listened to you?
,ossible probe 'uestions 5if needed6-
A$ ;hat did it looDSsoundSfeel liDe 7hen someone listened to you in this 7ayP
&$ ;hat 7as your e4perience of being on the recei!ing side of this Dind of listeningP
C$ rom the research literature, 7hich types of listening, if any, might you associate
7ith the listening you e4perienced from the three listening dimensions pre!iously
described- passive !ersus active, critical !ersus empathetic, and reductive !ersus
expansive listeningP
*$ ;hat changes or shifts, if any, did you e4perience in yourself 7hen someone
listened to you in this 7ayP
E$ ;hat 7as the impact on your o7n listening, if any, from being listened to in this
7ayP
$ ;hat outcomes did you achie!e as a result of e4periencing this Dind of listeningP
9. What might be the potential impact(s) of OD practitioners understanding the
connection between listening and insight or transformation?
,ossible probe 'uestions 5if needed6-
A$ ;hat might be the potential impact of O* practitioners being able to adapt and
modify the listening they use during client engagementP
&$ ;hat might be the potential impact of O* practitioners modeling this sDill and
transferring it to their clientsP
C$ ;hat might be the potential impact of leaders e4periencing and learning ho7 to
adapt and modify the listening they use 7ith their teams and organi%ationsP
*$ rom your perspecti!e, 7hat might be important to consider in e4ploring a
transactional !ersus transformational model for listeningP
Closing
90
10. Is there anything else you would like to add regarding the topic of listening as it
relates to transformation within the context of client-consultant engagement?
ThanD you for your participation in my research project$ ( care about your contribution$
(f ( need to clarify data once (H!e re!ie7ed the transcripts and integrated findings, ( may
reach bacD out to you for a short, targeted follo78up con!ersation$
And if you Dno7 any fello7 practitioners for 7hom the e4ploration of transformative
listening 7ould resonate, please let me Dno7$
ThanD you again$ 3our time and contribution are !aluable and ha!e been !ery
appreciated$
Marco Cassone
Qcontact informationR