TheProcessesofOrganizationandManagement

Magazine:Summer1998ResearchFeatureJuly15,1998ReadingTime:44min
DavidA.Garvin

Managers today are enamored of processes. Its easy to see why.

Many modern organizations are functional and hierarchical; they
suffer from isolated departments, poor coordination, and limited
lateral communication. All too often, work is fragmented and
compartmentalized, and managers find it difficult to get things
done. Scholars have faced similar problems in their research,
struggling to describe organizational functioning in other than static,
highly aggregated terms. For real progress to be made, the
proverbial black box, the firm, has to be opened and studied from
within.1
Processesprovidealikelysolution.Inthebroadestsense,theycanbedefinedascollectionsoftasks
andactivitiesthattogetherandonlytogethertransforminputsintooutputs.Withinorganizations,
theseinputsandoutputscanbeasvariedasmaterials,information,andpeople.Commonexamplesof
processesincludenewproductdevelopment,orderfulfillment,andcustomerservice;lessobviousbut
equallylegitimatecandidatesareresourceallocationanddecisionmaking.
Overtheyears,therehavebeenanumberofprocesstheoriesintheacademicliterature,butseldomhas
anyonereviewedthemsystematicallyorinanintegratedway.Processtheorieshaveappearedin
organizationtheory,strategicmanagement,operationsmanagement,groupdynamics,andstudiesof
managerialbehavior.Thefewscholarlyeffortstotackleprocessesasacollectivephenomenoneither
havebeentightlyfocusedtheoreticalormethodologicalstatementsorhavefocusedprimarilyona
singletypeofprocesstheory.2

Yetwhenthetheoriesaretakentogether,theyprovideapowerfullensforunderstandingorganizations
andmanagement:
First,processesprovideaconvenient,intermediatelevelofanalysis.Becausetheyconsistofdiverse,
interlinkedtasks,theyopenuptheblackboxofthefirmwithoutexposinganalyststothepartwhole
problemsthathaveplaguedearlierresearch.3Paststudieshavetendedtofocusoneitherthetrees
(individualtasksoractivities)ortheforest(theorganizationasawhole);theyhavenotcombinedthe
two.Aprocessperspectivegivestheneededintegration,ensuringthattherealitiesofworkpracticeare
linkedexplicitlytothefirmsoverallfunctioning.4
Second,aprocesslensprovidesnewinsightsintomanagerialbehavior.Moststudieshavebeen
straightforwarddescriptionsoftimeallocation,roles,andactivitystreams,withfewattemptsto
integrateactivitiesintoacoherentwhole.5Infact,mostpastresearchhashighlightedthefragmented
qualityofmanagersjobsratherthantheircoherence.Aprocessapproach,bycontrast,emphasizesthe
linksamongactivities,showingthatseeminglyunrelatedtasksatelephonecall,abriefhallway
conversation,oranunscheduledmeetingareoftenpartofasingle,unfoldingsequence.Fromthis
vantagepoint,managerialworkbecomesfarmorerationalandorderly.
Myaimhereistogiveaframeworkforthinkingaboutprocesses,theirimpacts,andtheimplications
formanagers.Ibeginattheorganizationallevel,reviewingawiderangeofprocesstheoriesand
groupingthemintocategories.Thediscussionleadsnaturallytoatypologyofprocessesandasimple
modeloforganizationsasinterconnectedsetsofprocesses.Inthenextsection,Iexaminemanagerial
processes;Iconsiderthemseparatelybecausetheyfocusonindividualmanagersandtheir
relationships,ratherthanonorganizations.Iexamineseveraltypesofmanagerialprocessesand
contrastthemwith,andlinkthemto,organizationalprocesses,andidentifytheircommonelements.I
concludewithaunifyingframeworkthattiestogetherthediverseprocessesandconsiderthe
implicationsformanagers.

Organizational Processes
Scholarshavedevelopedthreemajorapproachestoorganizationalprocesses.Theyarebestconsidered
separatebutrelatedschoolsofthoughtbecauseeachfocusesonaparticularprocessandexploresits
distinctivecharacteristicsandchallenges.Thethreecategoriesare(1)workprocesses,(2)behavioral
processes,and(3)changeprocesses(seethesidebaronorganizationalprocesses).

Three Approaches to Organizational Processes

WorkProcesses
Aprocessisthusaspecificorderingofworkactivitiesacrosstimeandplace,withabeginning,an
end,andclearlydefinedinputsandoutputs:astructureforaction.T.H.Davenport,Process
Innovation(Boston:HarvardBusinessSchoolPress,1993),p.5.
Process.Anyactivityorgroupofactivitiesthattakesaninput,addsvaluetoit,andprovidesanoutput
toaninternalorexternalcustomer.
H.J.Harrington,BusinessProcessImprovement(NewYork:McGrawHill,1991),p.9.
Weviewprocessesasthedirectionandfrequencyofworkandinformationflowslinkingthe
differentiatedroleswithinandbetweendepartmentsofcomplexorganization.
J.R.GalbraithandR.K.Kazanjian,StrategyImplementation:Structure,Systems,andProcess(St.Paul,
Minnesota:West,1986),p.6.
BehavioralProcesses

Thekeytounderstandingwhatmakesanorganizationmoreorlesseffectiveishowitdoesthings....
Onemustunderstandvariousprocesseshowgoalsareset,howthemeanstobeusedaredetermined,
theformsofcommunicationusedamongmembers,theirprocessesofproblemsolvinganddecision
making,howtheyrunmeetingsandgroups,howsuperiorsandsubordinatesrelatetoeachother,and
ultimatelyhowleaderslead.
E.H.Schein,ProcessConsultation:ItsRoleinOrganizationDevelopment,secondedition(Reading,
Massachusetts,AddisonWesley,1988),p.15.
Decisionmakingisanorganizationalprocess.Itisshapedasmuchbythepatternofinteractionof
managersasitisbythecontemplationandcognitiveprocessesoftheindividual.
L.R.Sayles,ManagerialBehavior(NewYork:McGrawHill,1964),p.207.
ChangeProcesses

Processisawayofgivinglifetodatabytakingsnapshotsofaction/interactionandlinkingthemto
formasequenceorseries....Processistheanalystswayofaccountingfororexplainingchange.
A.StraussandJ.Corbin,BasicsofQualitativeResearch(NewburyPark,California:Sage,1990),pp.
144,148.
Agoodprocesstheorydescribes,atleastinbroadoutline,plausibletimeparametersassociatedwith
changewithinandbetweenthephenomenaofinterest....Atthecenterofalldynamicanalysisisthe
assessmentofchangeovertime.
P.R.Monge,TheoreticalandAnalyticalIssuesinStudyingOrganizationalProcesses,Organization
Science,volume1,number4,1990,pp.408,426.
Studyoforganizationalchangetendstofocusontwokindsofquestions.(1)Whataretheantecedents
orconsequencesofchangeinorganizationalformsoradministrativepractices?(2)Howdoesan
organizationalchangeemerge,develop,grow,orterminateovertime?...Thesecondquestionrequires
aprocesstheoryexplanationofthetemporalorderandsequenceinwhichadiscretesetofevents
occurredbasedonastoryorhistoricalnarrative.

A.H.VandeVenandG.P.Huber,LongitudinalFieldResearchMethodsforStudyingProcessesof
OrganizationalChange,OrganizationScience,volume1,number3,1990,p.213.

Work Processes
Theworkprocessapproach,whichhasrootsinindustrialengineeringandworkmeasurement,focuses
onaccomplishingtasks.Itstartswithasimplebutpowerfulidea:organizationsaccomplishtheirwork
throughlinkedchainsofactivitiescuttingacrossdepartmentsandfunctionalgroups.Thesechainsare
calledprocessesandcanbeconvenientlygroupedintotwocategories:(1)processesthatcreate,
produce,anddeliverproductsandservicesthatcustomerswant,and(2)processesthatdonotproduce
outputsthatcustomerswant,butthatarestillnecessaryforrunningthebusiness.Icallthefirstgroup
operationalprocessesandthesecondgroupadministrativeprocesses.Newproductdevelopment,
manufacturing,andlogisticsanddistributionareexamplesofoperationalprocesses,whilestrategic
planning,budgeting,andperformancemeasurementareexamplesofadministrativeprocesses.
Operationalandadministrativeprocessesshareseveralcharacteristics.Bothinvolvesequencesof
linked,interdependentactivitiesthattogethertransforminputsintooutputs.Bothhavebeginningsand
ends,withboundariesthatcanbedefinedwithreasonableprecisionandminimaloverlap.Andboth
havecustomers,whomaybeinternalorexternaltotheorganization.Theprimarydifferencesbetween
thetwolieinthenatureoftheiroutputs.Typically,operationalprocessesproducegoodsandservices
thatexternalcustomersconsume,whileadministrativeprocessesgenerateinformationandplansthat
internalgroupsuse.Forthisreason,thetwoarefrequentlyconsideredindependent,unrelatedactivities,
eventhoughtheymustusuallybealignedandmutuallysupportiveiftheorganizationistofunction
effectively.Skilledsupplychainmanagement,forexample,demandsaseamlesslinkbetweena
companysforecastingandlogisticsprocesses,justassuccessfulnewproductdevelopmentrestson
welldesignedstrategyformationandplanningprocesses.
Theworkprocessesapproachisprobablymostfamiliartomanagers.Itdrawsheavilyontheprinciples
ofthequalitymovementandreengineering.6Bothfocusontheneedtoredesignprocessestoimprove
quality,cutcosts,reducecycletimes,orotherwiseenhanceoperatingperformance.Despitethese
sharedgoals,thetwomovementsarestrikinglysimilaronsomepoints,butdivergeonothers.
Thesimilaritiesbeginwiththebeliefthatmostexistingworkprocesseshavegrownunchecked,with
littlerationaleorplanning,andarethereforeterriblyinefficient.Hammer,forexample,hasobserved:
Whydidwedesigninefficientprocesses?Inaway,wedidnt.Manyofourprocedureswerenot
designedatall;theyjusthappened....Thehodgepodgeofspecialcasesandquickfixeswaspassed
fromonegenerationofworkerstothenext.7Theresult,accordingtooneempiricalstudyofwhite
collarprocesses,isthatvalueaddedtime(thetimeinwhichaproductorservicehasvalueaddedtoit,
asopposedtowaitinginaqueueorbeingreworkedtofixproblemscausedearlier)istypicallylessthan
5percentoftotalprocessingtime.8
Toeliminateinefficiencies,bothmovementssuggestthatworkprocessesberedesigned.Infact,both
implicitlyequateprocessimprovementwithprocessmanagement.Theyalsosuggesttheuseofsimilar
tools,suchasprocessmappinganddatamodeling,aswellascommonrulesofthumbforidentifying
improvementopportunities.9First,flowchartsaredevelopedtoshowallthestepsinaprocess;the
processisthenmademoreefficientbyeliminatingmultipleapprovalsandcheckpoints,finding
opportunitiestoreducewaitingtime,smoothingthehandoffsbetweendepartments,andgrouping
relatedtasksandresponsibilities.10Atsomepoint,processownerswithprimaryresponsibilityfor
leadingtheimprovementeffortarealsodeemednecessary.Theirroleistoensureintegrationand
overcometraditionalfunctionalloyalties;forthisreason,relativelyseniormanagersareusually
assignedthetask.11
Thedifferencesbetweenthetwomovementslieintheirviewsabouttheunderlyingnatureandsources
ofprocesschange.Thequalitymovement,forthemostpart,arguesforincrementalimprovement.12
Existingworkprocessesareassumedtohavemanydesirableproperties;thegoalistoeliminate
unnecessarystepsanderrorswhilepreservingthebasicstructureoftheprocess.Improvementsare
continuousandrelativelysmallscale.Reengineering,bycontrast,callsforradicalchange.13Existing

workprocessesareregardedashopelesslyoutdated;theyrelyonworkpracticesandadivisionoflabor
thattakenoaccountofmoderninformationtechnology.
Forexample,thecasemanagementapproach,inwhichindividualsorsmallteams...performaseries
oftasks,suchasthefulfillmentofacustomerorderfrombeginningtoend,oftenwiththehelpof
informationsystemsthatreachthroughouttheorganization,wasnoteconomicallyviableuntilthe
arrivalofpowerful,inexpensivecomputersandinnovativesoftware.14Forthisreason,reengineering
focuseslessonunderstandingthedetailsofcurrentworkprocessesandmoreoninventingafuture
basedonfundamentallynewprocesses.15
Perhapsthemostdramaticdifferencebetweenthetwoapproachesliesintheimportancetheyattachto
controlandmeasurement.Qualityexperts,drawingontheirexperiencewithstatisticalprocesscontrol
inmanufacturing,arguethatwellmanagedworkprocessesmustbefullydocumented,withclearly
definedcontrolpoints.16Managerscanimproveaprocess,theybelieve,onlyiftheyfirstmeasureit
withaccuracyandassureitsstability.17Afterimprovement,continuousmonitoringisrequiredto
maintainthegainsandensurethattheprocessperformsasplanned.Reengineeringexperts,ontheother
hand,arevirtuallysilentaboutmeasurementandcontrol.Theydrawonadifferenttradition,
informationtechnology,thatemphasizesredesignratherthancontrol.

Insights for Managers.

Theworkprocessesperspectivehasledtoanumberofimportantinsightsformanagers.Itprovidesan
especiallyusefulframeworkforaddressingacommonorganizationalproblem:fragmentation,orthe
lackofcrossfunctionalintegration.Manyaspectsofmodernorganizationsmakeintegrationdifficult,
includingcomplexity,highlydifferentiatedsubunitsandroles,poorinformalrelationships,size,and
physicaldistance.18Integrationisoftenimprovedbythemereacknowledgmentofworkprocessesas
viableunitsofanalysisandtargetsofmanagerialaction.19Chartinghorizontalworkflows,for
example,orfollowinganorderthroughthefulfillmentsystemareconvenientwaystoremind
employeesthattheactivitiesofdisparatedepartmentsandgeographicalunitsareinterdependent,even
iforganizationcharts,withtheirverticallinesofauthority,suggestotherwise.
Inaddition,theworkprocessesperspectiveprovidesnewtargetsforimprovement.Ratherthan
focusingonstructuresandroles,managersaddresstheunderlyingprocesses.Anobviousadvantageis
thattheycloselyexaminetherealworkoftheorganization.Theresults,however,havebeenmixed,
andexpertsestimatethatahighproportionoftheseprogramshavefailedtodelivertheexpectedgains.
Myanalysissuggestsseveralreasonsforfailure.Mostimprovementprogramshavefocused
exclusivelyonprocessredesign;theongoingoperationandmanagementofthereconfiguredprocesses
haveusuallybeenneglected.Yeteventhebestprocesseswillnotperformeffectivelywithoutsuitable
oversight,coordination,andcontrol,aswellasoccasionalintervention.Inaddition,operational
processeshaveusuallybeentargetedforimprovement,whiletheirsupportingadministrativeprocesses
havebeenoverlooked.Incompatibilitiesandinconsistencieshavearisenwhentheinformationand
plansneededforeffectiveoperationwerenotforthcoming.Afewcompanieshaveusedthework
processesapproachtoredefinetheirstrategyandorganization.Themostprogressivehaveblendeda
horizontalprocessorientationwithconventionalverticalstructures.20

Behavioral Processes
Thebehavioralprocessapproach,whichhasrootsinorganizationtheoryandgroupdynamics,focuses
oningrainedbehaviorpatterns.Thesepatternsreflectanorganizationscharacteristicwaysofacting
andinteracting;decisionmakingandcommunicationprocessesareexamples.Theunderlyingbehavior
patternsarenormallysodeeplyembeddedandrecurrentthattheyaredisplayedbymostorganizational
members.Theyalsohaveenormousstayingpower.AsWeickobserved,behavioralprocessesareable
towithstandtheturnoverofpersonnelaswellassomevariationintheactualbehaviorspeople
contribute.21
Allbehavioralprocessesshareseveralcharacteristics.Theyaregeneralizations,distilledfrom
observationsofeverydayworkandhavenoindependentexistenceapartfromtheworkprocessesin

whichtheyappear.Thismakesthemdifficulttoidentifybutexplainstheirimportance.Behavioral
processesprofoundlyaffecttheform,substance,andcharacterofworkprocessesbyshapinghowthey
arecarriedout.Theyaredifferent,however,fromorganizationalculturebecausetheyreflectmorethan
valuesandbeliefs.Behavioralprocessesarethesequencesofstepsusedforaccomplishingthe
cognitiveandinterpersonalaspectsofwork.Newproductdevelopmentprocesses,forexample,may
haveroughlysimilarworkflowsyetstillinvolveradicallydifferentpatternsofdecisionmakingand
communication.Often,itistheseunderlyingpatternsthatdeterminetheoperationalprocesssultimate
successorfailure.22
NextIdiscussthreecategoriesofbehavioralprocesses,selectedfortheirrepresentativenessandrich
supportingliterature:decisionmaking,communication,andorganizationallearningprocesses.All
involvethecollection,movement,andinterpretationofinformation,aswellasformsofinterpersonal
interaction.Inmostcases,theassociatedbehaviorsarelearnedinformally,throughsocializationand
onthejobexperience,ratherthanthroughformaleducationandtrainingprograms.

Decision-Making Processes.
Ofallbehavioralprocesses,decisionmakinghasbeenthemostcarefullystudied.Therootsgobackto
theresearchandwritingsofChesterBarnardandHerbertSimon,whoarguedthatorganizational
decisionmakingwasadistributedactivity,extendingovertime,involvinganumberofpeople.23
Becauseitwasaprocessratherthanadiscreteevent,acriticalmanagementtaskwasshapingthe
environmentofdecisionmakingtoproducedesiredends.This,initself,isstillasurprisinginsightfor
manymanagers.Alltoooften,theyseedecisionmakingastheirpersonalresponsibility,ratherthanas
ashared,dispersedactivitythattheymustorchestrateandlead.24
Theseearlywritingsspawnedavastoutpouringofresearchondecisionmaking;eventuallythey
coalescedintothefieldofstrategicprocessresearch.25Onegroupfocusedonthestructureofdecision
makingprocesses:theirprimarystages,andwhetherstagesfollowedoneanotherlogicallyandin
sequenceorvariedovertimewiththetypeofdecision.26Thegoalwasamodelofthedecision
process,repletewithflowchartsandtimelines,thatmappedthesequenceofstepsindecisionmaking
andidentifiedidealtypes.Forthemostpart,theresultsofthesestudieshavebeenequivocal.Effortsto
produceasimplelinearflowmodelofdecisionmakinginthesamewaythatworkprocessescanbe
diagrammedusingprocessflowchartshavehadlimitedsuccess.Witte,forexample,studiedthe
purchaseprocessfornewcomputersandfoundthatveryfewdecisions4of233correspondedto
astandard,fivephase,sequentialprocess.Heconcludedthatsimultaneousratherthansequenced
processeswerethenorm:Webelievethathumanbeingscannotgatherinformationwithoutinsome
waydevelopingalternatives.Theycannotavoidevaluatingthesealternativesimmediately,andindoing
this,theyareforcedtoadecision.Thisisapackageofoperations.27Mintzbergetal.andNutt,in
theirstudiesofstrategicdecisionmaking,founditequallydifficulttospecifyasimplesequenceof
steps.28Afterdevelopinggeneralmodelsoftheprocess,theyidentifiedanumberofdistinctpaths
throughthem,eachrepresentingadifferenttypeorstyleofdecisionmaking.
Asecondgroupofscholarsadoptedamorefocusedapproach.Eachstudiedaparticularkindof
decision,usuallyinvolvinglargedollarinvestments,toidentifytheconstituentactivities,subprocesses,
andassociatedmanagementrolesandresponsibilities,aswellasthecontextualfactorsshapingthe
process.Muchofthisresearchhasexaminedtheresourceallocationprocess,withstudiesofcapital
budgeting,foreigninvestments,strategicplanning,internalcorporateventuring,andbusinessexit.29
Thisresearchhasledtotwoimportantinsights:
First,ithasforcedscholarstoacknowledgethesimultaneous,multilevelqualityofdecisionprocesses.
Whilesequentialstagescanbespecified,theyareincompleteasprocesstheoriesandmustbe
supplementedbydetaileddescriptionsoftheinteractionofactivities,viasubprocesses,across
organizationallevelsandthroughtime.Bower,forexample,identifiedthreemajorcomponentsofthe
resourceallocationprocessdefinition(thedevelopmentoffinancialgoals,strategies,andproduct
marketplans),impetus(thecrafting,selling,andchoiceofprojects),anddeterminationofcontext(the
creationofstructures,systems,andincentivesguidingtheprocess)andthenwentontodescribethe
linkageamongtheseactivitiesandtheinterdependentrolesofcorporate,divisional,andmiddle

managers.30Asimplestagesmodelwasunabletocapturetherichnessoftheprocess:therangeof
interlinkedactivities,withreciprocalimpacts,thatwereunfoldingatmultipleorganizationallevels.
Thisfindinghasobviousimplicationsformanagersbecauseitsuggeststhateffectiveresource
allocationaswellasmostothertypesofdecisionmakingrequiresattentiontotheperspectives
andactionsthatareunfoldingsimultaneouslyaboveandbelowoneslevelintheorganization.
Second,thisbodyofresearchfocusedattentiononthewaythatmanagersshapeandinfluencedecision
processes.Bydescribingthestructuralandstrategiccontexttherulesbywhichthegameisplayed,
includingtheorganizationsgoals,values,andrewardsystemsandshowinghowitisformed
throughactionsandpolicies,scholarshavedemonstratedhowseniormanagersareabletohavea
pronouncedimpactondecisionsmadeelsewhereintheorganization.Whilebehavioralprocesseslike
decisionmakinghavegreatautonomyandpersistence,theycan,accordingtothislineofresearch,be
shapedanddirectedbymanagerialaction.
Anotherstreamofresearchhasexploredthequalityofdecisionmaking.Scholarshavestudiedflawed
decisionstobetterunderstandtheircauses,examinedthefactorssupportingspeedydecisionmaking,
andcontrastedtheeffectivenessofcomprehensiveandnarrowdecisionprocesses.31Thesestudies
havenotedcertaindistinctiveproblemsthatarisebecauseorganizationaldecisionmakingisa
collectiveeffort.Janis,forexample,citingforeignpolicydebaclessuchastheBayofPigs,notedthat
whenmembersofadecisionmakinggroupwanttopreservesocialcohesionandstriveforunanimity,
theymayengageinselfcensorship,overoptimism,andstereotypedviewsoftheenemy,causingthem
tooverridemorerealisticassessmentsofalternatives.32However,certaintechniquesthatintroduce
conflictanddissent,suchasdevilsadvocacyanddialecticalinquiry,havebeenfoundtoovercome
theseproblemsinbothcontrolledexperimentsandrealworldsituations.33
AftertheBayofPigsfiasco,PresidentKennedyexplicitlyreformedthenationalsecuritydecision
makingprocesstoincludedevilsadvocacyanddialecticalinquiry,andusedbothtechniquestogreat
effectduringtheCubanMissileCrisis.34Similarly,BourgeoisandEisenhardtfoundthatsuccessful,
speedydecisionmakingreliedonrationalapproaches,thedevelopmentofsimultaneousmultiple
alternatives,andtheuseofuptodateoperatinginformationtoformjudgments.35Formanagers,the
implicationsofthislineofresearchshouldbeobvious:theneedtointroducehealthyconflictand
competingperspectivestoensuremoreeffective,timelydecisionmaking.
Together,thesestudieshaveshownthatdecisionmakingprocessesarelengthy,complex,andslowto
change.Theyinvolvemultiple,oftenoverlappingstages,engagelargenumbersofpeopleatdiverse
levels,sufferfrompredictablebiasesandperceptualfilters,andareshapedbytheadministrative,
structural,andstrategiccontext.Theireffectivenesscanbejudged,usingcriteriasuchasspeed,
flexibility,rangeofalternativesconsidered,logicalconsistency,andresults,andtheyaresubjectto
managerialinfluenceandcontrol.Perhapsmostimportant,thesestudieshaveshownthatdecision
making,likeotherbehavioralprocesses,canbecharacterizedalongafewsimpledimensionsthat
managerscanreviewandalterifneeded.Acompanysdecisionmakingprocessesmaybesloworfast,
generatefewormanyalternatives,relyprimarilyonoperatingorfinancialdata,engagefewormany
organizationallevels,involveconsensualorhierarchicalresolutionofconflicts,andbetolerantofor
closedtodivergentopinions.

Communication Processes.
Socialpsychologistsandsociologistshavelongstudiedcommunicationprocesses,datingbacktothe
originalhumanrelationsexperimentsattheHawthorneWorksofWesternElectric,thepioneering
studiesofKurtLewin,andtheeffortsoftheNationalTrainingLaboratoriestoestablishthefieldof
organizationaldevelopment.36Thefieldcurrentlycoversabroadarrayofprocessesandinteractions,
includingfacetoface,withingroup,andintergrouprelationships.
Theefficacyoftheserelationshipsinvariablyrestsonthequalityandrichnessofinterpersonal
communicationandinformationprocessingactivities:howindividualsandgroupssharedata,agreeon
agendasandgoals,andironoutconflictsastheygoabouttheirwork.37Theseprocessesfrequently
becomepatternedandpredictable.Butbecausetheyareembeddedineverydayworkflows,theyare

notalwaysimmediatelyapparent.Likedecisionmakingprocesses,theyreflectunconscious
assumptionsandroutinesandcanoftenbeidentifiedonlyafterrepeatedobservationsofindividuals
andgroups.Moreover,theunderlyingprocessesarequitesubtle,asScheinhasobserved:
Manyformulationsofcommunicationdepictitasasimpleproblemoftransferofinformationfrom
onepersontoanother.But...theprocessisanythingbutsimple,andtheinformationtransferredis
oftenhighlyvariableandcomplex.Wecommunicatefacts,feelings,perceptions,innuendoes,and
variousotherthingsallinthesamesimplemessage.Wecommunicatenotonlythroughthespoken
andwrittenwordbutthroughfacialexpressions,gestures,physicalposture,toneofvoice,timingof
whenwespeak,whatwedonotsay,andsoon.38
Becauseofthesecomplexities,communicationprocessesarebestcharacterizedalongmultiple
dimensions.Scheinhasprovidedarelativelycompletesetofcategories,includingfrequencyand
duration,direction,triggersandflow,style,andlevelanddepth.39Somepatternscanbecaptured
throughthetoolsofcommunicationengineering,whichmodelcommunicationnetworksandpresenta
pictureofagroupsinformationlinkagesandflowsinthesamewaythatworkprocessesareoften
mapped.40
Afewstudieshavepursuedanintermediatelevelofanalysis,combiningactivitiesintosubprocesses.
Thesesubprocessesfallintotwodistinctcategories:thoseneededfortaskmanagementandwork
accomplishmentandthoseforbuildingthegroupandmaintainingitsrelationships.41Examplesofthe
firstincludeinformationgivingandseekingandopiniongivingandseeking,andexamplesofthe
secondincludeharmonizingandcompromising.Severalscholarshaveusedthesecategoriestodevelop
simpleselfassessmentformsforevaluatinggroupprocessesandhavethenlinkedtheresultstogroup
effectiveness.42
Together,thesestudiesprovidearelativelycompletesetofcategoriesfordiagnosingandevaluating
communicationprocesses.Likedecisionmakingprocesses,theycanbecharacterizedalongafew
simpledimensions.Here,too,managerscanusethedimensionstoprofiletheirorganizationsand
identifyareasneedingimprovement.Thenature,direction,andqualityofdiscussionflowsare
important,asaretheinterrelationshipsamonggroupmembers,theirstancestowardoneanother,and
thetenorandtoneofgroupwork.

Organizational Learning Processes.

Awiderangeofscholars,includingorganizationaltheorists,socialpsychologists,manufacturing
experts,andsystemsthinkershavestudiedorganizationallearningprocesses.43Thereisbroad
agreementthatorganizationallearningisessentialtoorganizationalhealthandsurvival,involvesthe
creationandacquisitionofnewknowledge,andrestsultimatelyonthedevelopmentofshared
perspectives(oftencalledmentalmodels).Mostscholarshavedescribedtheseactivitiesabstractly,
withouttryingtogrouporcategorizethem.Buttherearepersistentunderlyingpatterns.Thewayan
organizationapproacheslearningisasdeeplyembeddedasitsapproachestodecisionmakingand
communication.44
Fourbroadprocessesareinvolved:knowledgeacquisition,interpretation,dissemination,andretention.
Ineacharea,companiesappeartorelyonrelativelyfewapproachesthatfittheirculturesandhavebeen
adaptedtotheirneeds.Overtime,theseapproachesbecomeinstitutionalizedastheorganizations
dominantmodeorstyleoflearning.AccordingtoNevisetal.:Basicassumptionsabouttheculture
leadtolearningvaluesandinvestmentsthatproduceadifferentlearningstylefromaculturewitha
differentpatternofvaluesandinvestments.45
Knowledge,forexample,maybeacquiredinmanyways.Eachapproachinvolvesdistinctivetools,
systems,andbehaviorsandisassociatedwithaparticularlearningstyle.Theunderlyingprocesses
differaccordingly.CompanieslikeDuPonthavefocusedtheireffortsonbrainstormingandcreativity
techniques;others,likeBoeingandMicrosoft,havebecomeadeptatlearningfromtheirowninternal
manufacturinganddevelopmentexperiences.AT&TandXeroxhavegainedconsiderableskillat
benchmarkingcompetitorsandworldleaders;others,likeRoyalDutch/Shell,haveusedhypothetical

planningexercisestostimulatelearning.Similardistinctionsexistfortheprocessesofknowledge
interpretation,dissemination,andretention.Retention,forexample,maybethroughwrittenrecordsor
tacitlyunderstoodroutines,andtheorganizationsmemorymaybeaccessedbyarangeofindexingand
retrievalprocesses.46
Organizationallearningprocessesthussharemanyofthesamecharacteristicsasdecisionmakingand
communicationprocesses.Activityisdistributedthroughouttheorganization,unfoldsovertime,
involvespeopleindiversedepartmentsandpositions,andrestsonafewcriticalsubprocessesor
routines.Ittooisanorganizationalprocessratherthananindividualprocessandcanbeclassified
intodistinctivemodesorstyles.47Infact,whencombinedtogether,thethreebehavioralprocessesare
oftencomplementaryandsynergistic.
Theyinteractinpredictableways,producingclustersofcharacteristicsthataremutuallyreinforcing.
Inthemicrocomputerindustry,forexample,themosteffectivefirmswereabletomakequick
decisions.48Theirabilitytodosorestedonseveralmutuallyreinforcingactivities.Decisionmaking
wasrationalandanalytical,basedonmultiplealternativesandrealtimeoperatinginformation.
Communicationwasopenandwideranging,withdiscussionsthatreliedonsharedideas,pooled
information,andthejudgmentofafewtrustedcounselors,butvestedfinalauthoritywiththeCEO.
Organizationallearningwasguidedprimarilybyexternalscanningandsearch.Thereisanimportant
messagehereformanagers.Justasadministrativeandoperationalprocessesmustbecomplementary
andsupportive,sotoomustbehavioralprocesses.
Unfortunately,managersfrequentlyassumethatrestructuringorreengineeringworkprocesseswillbe
accompaniedbysimultaneous,virtuallyautomaticchangesinbehavior.Suchchangesareusually
consideredessentialforsuccessfultransformations.49Butbecausetheyreflectdeeperforces,these
behaviorsnormallyremaininplaceunlesstheunderlyingprocessesaretackledexplicitly.Managers
mustrecognizethatsuccessfulimprovementprogramsrequireexplicitattentiontotheorganizations
characteristicpatternsofdecisionmaking,communication,andlearning.Toolsforstimulatingchange
includesimulations,exercises,observations,andcoaching;eachmaybeappliedattheindividualand
organizationallevels.

Change Processes
Thechangeprocessapproach,whichhasrootsinstrategicmanagement,organizationtheory,social
psychology,andbusinesshistory,focusesonsequencesofeventsovertime.Thesesequences,called
processes,describehowindividuals,groups,andorganizationsadapt,develop,andgrow.Change
processesareexplicitlydynamicandintertemporal.Unliketherelativelystaticportraitsofworkand
behavioralprocesses,theyattempttocatchrealityinflight.50Examplesofchangeprocessesinclude
theorganizationallifecycleandDarwinianevolution.
Allchangeprocessesshareseveralcharacteristics.Theyarelongitudinalanddynamic,designedto
captureactionasitunfolds,withthreecomponentsalwayspresent:asetofstartingconditions,a
functionalendpoint,andanemergentprocessofchange.51Changeprocessesthereforeanswerthe
question,Howdidxgetfromheretothere?Often,astoryornarrativeisrequiredtoprovide
coherenceandexplaintheunderlyinglogicoftheprocess.52Mostdescriptionsofchangealsodivide
timeintobroadstagesorphases.Eachstageconsistsofgroupsofactivitiesaimedatroughlysimilar
goals,andthetransitionbetweenstagesmaybesmoothorturbulent.53
Studiesofchangehavefocusedonfourbroadareas:creation,growth,transformation,anddecline.54
Eachperiodrepresentsacriticalstageintheindividualororganizationallifecycle,and,overtime,the
lifecyclehasbecometheorganizingframeworkforthefield.Scholarsremaindivided,however,about
thepatternandflowofeventsovertime.Theprimaryquestioniswhetherchangeprocessesproceed
throughincrementalstepswhatGersickhascalledaslowstreamofsmallmutationsorthrough
alternatingperiodsofstabilityandrevolutionarychange.55Ultimately,thechoiceisbetween
traditionalDarwiniantheoriesandthosebasedonanewer,punctuatedequilibriumframework.While
thesubjectisstillunderdebate,evidencesupportingthelatterviewisaccumulatingrapidly.56

Whatevertheirfocus,changeprocessesfallintotwobroadcategories:autonomousandinduced.
Autonomousprocesseshavealifeoftheirown;theyproceedbecauseofaninternaldynamic.The
entityororganismevolvesnaturallyandofitsowncourse.Insomecases,thedirectionofchangeis
preordainedandinevitable.Inothers,transitionalperiodscreateflux,andtheentitymayevolvein
multiple,unexpectedways.Processesintheformercategoryincludeanorganizationsevolutionfrom
informal,entrepreneurialstartuptoamorestructured,professionallymanagedfirm.Processesinthe
secondcategoryincludeorganizationalandindustryshiftsthatresultfromrevolutionarychangesin
technology.57Inbothcases,Selznickhasobserved,managersmustbeattentivetothepathandtiming
ofdevelopment:Certaintypesofproblemsseemtocharacterizephasesofanorganizationslife
history.Astheseproblemsemerge,theorganizationisconfrontedwithcriticalpolicydecisions.58
Appropriateactiondepends,inlargepart,onfittingbehaviortotheconditionsandrequirementsofthe
currentstage.59Anobviousexampleisknowingwhentointroducepolicies,procedures,andsystems
intoalooselyknit,entrepreneurialfirm.Tooearly,andgrowthmaybestifled;toolate,andthe
organizationmayalreadyhavespunoutofcontrol.
Unlikeautonomousprocesses,inducedprocessesdonotoccurnaturallybutmustbecreated.All
plannedchangeeffortsthereforefallintothiscategory.Whiletheyaretriggeredindifferentways,such
efforts,onceunderway,unfoldinapredictablesequence.Eachstepisaccompaniedbydistinctive
challengesandtasks,withstrikingparallelsindifferenttheoristsdescriptions.Inducedchange
processesarecommonlydividedintothreebasicstages.60Thefirstisaperiodofquestioning,when
thecurrentstateisassessedandenergyappliedtodislodgeacceptedpatterns.Thesecondstageisone
offlux,whenoldwaysarepartiallysuspendedandnewapproachesaretestedanddeveloped.Thethird
isaperiodofconsolidation,whennewattitudesandbehaviorsbecomeinstitutionalizedandwidely
adopted.Again,itiscriticalthatmanagersdevelopactionsappropriatetothecurrentstageandknow
whenitistimetoshifttoanewstage.ExamplesofthreeparttheoriesincludeBeckhardandHarriss
presentstate,transitionstate,andfuturestate;LewinsandScheinsunfreezing,changing,and
refreezing;andTichyandDevannasawakening,mobilizing,andreinforcing.61
Wecanthusclassifychangeprocessesonafewsimpledimensions:theymaybeautonomousor
induced,andinvolveslowincrementalevolutionoralternatingperiodsofstabilityandrevolutionary
change.Completeprocessdescriptionsalsoincludetheprecisesequence,duration,andtimingof
stages,aswellasthenatureandnumberofactivitiesandparticipantsateachstage.62

A Recap of Organizational Processes

Thethreemajorapproachestoorganizationalprocesseshavemuchincommon(seeTable1).Each
viewsprocessesascollectionsofactivities,involvingmanypeople,thatunfoldovertime.Each
involvesrepeated,predictablesequencesorpatterns.Andeachtakesaholisticapproach,grouping
individualactivitiesanddecisionsincoherent,logicalways.Thelatterqualityisespeciallyimportant
becauseitsuggeststhatprocessesprovidemanagerswithapowerfulintegratingdevice,awayof
meshingspecialized,segmentedtaskswithlargerorganizationalneeds.
Despitethesesimilarities,thethreetypesofprocessescapturedifferentorganizationalphenomenaand
arebestviewedascomplementarypiecesofalargerpuzzle.Theycan,infact,becombinedintoa
singleframeworkthatincludesbothcrosssectionalanddynamicelements.(Foraunifiedportraitof
organizationsascollectionsandreflectionsofprocesses,seeFigure1.)
Aprocessviewoforganizationsoffersseveraladvantages.First,itprovidesadisaggregatedmodelof
thefirm,butdoessoinwaysthatmaketheanalysisofimplementationmoretractableandexplicit.Put
anotherway,iforganizationsaresystemsforgettingworkdone,63processesprovideafinegrained
descriptionofthemeans.Second,thediagramsuggeststheintimateconnectionsamongdifferenttypes
ofprocessesandthefutilityofanalyzingtheminisolation.Itisextraordinarilydifficultand,at
times,impossibletounderstandoralterasingleprocesswithoutfirsttakingaccountofotherson
whichitdepends.64
Perhapsmostimportantformanagers,aprocessviewoforganizationschangesthefocusofboth
analysisandaction.Alltoooften,managersfirstresponsetoproblemsistopinresponsibilityonan

individualordepartment.Yetbecauseprocessesshapethevastmajorityoforganizationalactivities,
theyarefrequentlythetruesourcesofdifficulty.Accountabilitymustthereforeshifttoahigherlevel:
tothosewithwideenoughspansofcontroltooverseeentireprocesses.Thisprinciplehaslongbeena
stapleofthequalitymovement,whereithasbeenappliedtooperationalprocesses.Thepreceding
argumentssuggestthatmanagersneedtobeequallyattentivetoadministrative,behavioral,andchange
processes.Asageneralrule,responsibilityfortheseprocessesmustshifttoseniormembersofthe
firm.
Approachestoorganizationdesignmustchangeaswell.Mosttextsonthesubjectfocusontasksand
structures,withdetaileddiscussionsofroles,positions,levels,andreportingrelationships.65Theysay
relativelylittleaboutprocessesorabouthowtheworkactuallygetsdone.Theimplicitargumentseems
tobethatorganizationdesignislargelyamatterofarchitecture:drawingtherightboxesand
connectingthemappropriately.Aprocessperspectivesuggeststhatfarmoreattentionshouldbepaidto
organizationalfunctioning,andthatdesigneffortsshouldbeginbyattendingtoprocessesandonlylater
shouldshifttothestructuresneededtoaccommodatethem.
Finally,thisapproachsuggeststhatmanagersarecontinuallyenmeshedinorganizationalprocesses.
Theresultisadelicatebalancingact.Ontheonehand,managersareconstrainedbytheprocessesthey
face,forcedtoworkwithintheirboundariesandpreestablishedstepstogetthingsdone.Ontheother
hand,theytrytoinfluenceandaltertheseprocessestogainadvantage.Thiscontinualshiftingfrom
statesmantogamesmaniswhatmakesmanagementsuchachallengingtask.66Italsosuggests
another,quitedifferentuseofthewordprocesses.

Managerial Processes
Managementisoftendescribedastheartofgettingthingsdone.Butbecauseorganizationsare
complexsocialinstitutionswithwidelydistributedresponsibilityandresources,unilateralactionis
seldomsufficient.67Managersthereforespendthebulkoftheirtimeworkingwith,andthrough,other
people.68Theyfacearangeofchallenges:howtogettheorganizationmovinginthedesireddirection,
howtogaintheallegianceandsupportofcriticalindividuals,andhowtoharmonizediversegroup
interestsandgoals.Inthebroadestsense,thesearequestionsofprocess:theyinvolvehowthingsare
done,ratherthanthecontentorsubstanceofideasorpolicies.
Themechanicsofimplementationthuslieattheheartofthisdefinitionofprocesses.Thefocusison
thewaythatmanagersorchestrateactivitiesandeventsandengageothersintaskssothatdesiredends
arerealized(seethesidebaronmanagerialprocesses).Actionisthekey,andprocessisimplicitly
equatedwithskilledprofessionalpractice.Notsurprisingly,thisuseofthetermappearsinawiderange
ofprofessionswherethereisneedforartistry,subjectivity,andcarefuldiscriminations.Architects,for
example,engageinthedesignprocess;scientistsemploythescientificprocess;andpsychologists
engageinthecounselingprocess.Likemanagement,eachactivityinvolvescomplex,contingent
choicesabouthowbesttotransformintentionsintoresults.

Descriptions of Managerial Processes

Managingisasocialprocess.Itisaprocessbecauseitcomprisesaseriesofactionsthatleadtothe
accomplish006Dentofobjectives.Itisasocialprocessbecausetheseactionsareprincipallyconcerned
withrelationsbetweenpeople.
W.H.Newman,C.E.Summer,andE.K.Warren,TheProcessofManagement(EnglewoodCliffs,New
Jersey:PrenticeHall,1972),p.12.
Whetherproposingachangeintheexecutivecompensationstructure,establishingprioritiesfora
diversegroupofbusinessunits,consolidatingredundantoperations,orpreparingforplantclosings,a
seniorexecutivesconsciousthoughtsareforemostamongtheprocessesforaccomplishingachangeor
implementingadecision:Whoarethekeyplayershere,andhowcanIgettheirsupport?Whom
shouldItalktofirst?ShouldIstartbygettingtheproductiongroupsinput?Whatkindofsignalwill
thatsendtothemarketingpeople?Icantaffordtolosetheircommitmentintheupcomingdiscussions
onourmarketstrategy.

D.J.Isenberg,HowSeniorManagersThink,HarvardBusinessReview,volume62,November
December1984,pp.8283.
Mostoftheliteratureofgeneralmanagementhasseparatedthepositionalaspects[ofthechief
executiveofficersfunction]fromthemanagerialones.Inpositionalframeworks,theproblemof
managingisdescribedintermsofgettingthefirmfromonepositiontoanother....Inthemanagerial
framework,attentionisfocusedonhowgoalsaredeveloped,onhowresourcesareallocated,andon
howtheeffortsofindividualsarecoordinatedtoachieveparticulargoalsandpatternsofallocation.
Managerialframeworksfocusontheprocessofmanagementmorethanontheoveralldirection
followedbythecompany.
J.L.BowerandY.Doz,StrategyFormulation:ASocialandPoliticalProcess,inD.H.Schendeland
C.H.Hofer,eds.,StrategicManagement(Boston:Little,Brown,1979),p.153.
Managerialprocesses,however,involveadditionalcomplications.Manyscholarsagreethat
organizations...arefundamentallypoliticalentities,69composedofdiversegroupswiththeirown
intereststhatcomeintoconflictoveragendasandresources.70Insuchsettings,successfulmanagers
mustalignandharmonizecompetinginterests,whilecultivatingcommitmentandmotivation.Skillful
managersthereforespendrelativelylittletimeissuingultimatumsormakingbigdecisions.Rather,they
engageinanextraordinarynumberoffragmentedactivities,tacklingpressingissuesorsmallpiecesof
largerproblems.71Often,theprocessrequiresbuildingandusinginterpersonalnetworks,aswellas
skillfulmaneuveringtoovercomepoliticalobstacles.72
Thechallengeformanagers,then,istoshape,prod,anddirecttheirorganizations,throughwordsand
deeds,sothatlargergoalsarerealized.Theapproachestheyusewhichwereoncethesubjectof
coursesonadministrativepracticearemanagerialprocesses.Theyhaveanunderlyinglogicthatis
easilymissedwhenscholarsfocusontaxonomiesofdiscretetasksandactivities,ratherthanunifying
threads.73Moreover,becausetheseprocessesrequireflexibilityandasensitivitytocontext,they
seldomunfoldinthesamesetsequenceormaintainthesamecharacteroneveryoccasion.74
Empiricalstudiesofmanagerialprocessesfallintotwobroadcategories.Onegrouphastakenan
anthropologicalapproachfocusingonasinglemanagerinaction,withvividdescriptionsofhisorher
behavior.Casestudiesinbusinesspolicyfallintothiscategory,asdostudiesbyinsidersorjournalists
whohavegainedunusualaccesstoacompany.75Theassociatedprocesseshaveusuallybeen
idiosyncraticandhighlyindividualistic,reflectingthedistinctivecharacterofthemanagersstudied.
Suchnuanced,textureddescriptionsprovideinvaluableinsightintotheprocessesofmanagementbut
permitfewgeneralizations.
Asecondgroupofempiricalstudies,usuallybyscholars,hassoughtbroaderconclusions.Typically,
theyhavereviewedthetimecommitmentsandactivitiesofafewmanagers,groupedtheminto
categoriesaccordingtopurposesandgoals,andthenappliedaprocessperspective.Threebroad
processeshavedominatedthisliterature:directionsetting,negotiatingandselling,andmonitoringand
control.

Direction-Setting Proces0073es
Directionsetting,themostwidelyrecognizedmanagerialactivity,hasappeared,insomeform,inmost
empiricalstudiesofmanagerialwork.76Itinvolveschartinganorganizationscourseandthen
mobilizingsupportandensuringalignmentwithstatedgoals.Kottersdescriptionofhowgeneral
managersmetthischallengeisrepresentative.77Allthemanagershestudiedbeganbydevelopingan
agenda,collectinginformationfromawiderangeofsources,andthenassimilatingitandforminga
fewbroadthrustsorgeneralgoals.Theythenworkedhardtoframemessages,usingdiverse
communicationmediaandopportunities,toensurethatmembersoftheorganizationdevelopeda
sharedunderstandingofthenewobjectives.Often,theseactivitiesoccurredwithinthebroad
parametersoftheorganizationsplanningorgoalsettingprocess,althoughmuchworkwasinformal
andunstructured,tailoredtotheuniqueskillofthemanagerandthedistinctivedemandsofthe
situation.GabarroandSimonsreachedsimilarconclusionsintheirstudiesofthetakingcharge

processofnewexecutives,whereindividualizedmanagerialactionwascoupledwithestablished
organizationalprocesses.78
Together,theseempiricalstudieshaveshownthatdirectionsettingprocesseshaveseveralcomponents:
learningabouttheorganizationanditsproblemsthroughabroadrangeofinteractions,assessments,
andcontinuedprobing;framinganagendatobepursuedduringthemanagerstenurethrough
consciousreflectionandintuitiveexperience;andaligningindividualsthroughcommunication,
motivation,rewards,andpunishments,oftenusingneworestablishedorganizationalprocesses.Critical
processchoicesthatthemanagermakesincludewhichinformationsourcestotap,which
communicationmediaandsupportingsystemstoemphasize,andwhichapproachestouseinframing,
testing,andrevisinginitiatives.

Negotiating and Selling Processes

Oncethemanagersetsadirection,negotiatingandsellingprocessesarenecessaryforgettingthejob
done.Theyworkintwodirections,horizontallyandvertically.Becausehorizontalflowslinkthe
activitiesofmostdepartments,employeesfrequentlyrelyonindividualsoutsidetheirworkgroupsfor
essentialservicesandinformation.79Formalauthorityisnormallylackingintheserelationships,and
managersmustuseothermeanstogaincooperation.Thisusuallyrequiresbuildinganetworkof
contactsandthenworkingwiththeappropriateindividualstonegotiatethetermsoftradeforcurrent
andfutureinteractions.80Variousapproachesareusedtogainsupport,includingcurryingfavor,
creatingdependence,providingquidproquos,andappealingtocompellingorganizationalneeds.
Successfulnegotiatingrequiresanunderstandingofthestrengthsandweaknessesofothers,the
relationshipsthatareimportanttothem,whattheiragendasandprioritiesare.81Issuesmustbe
shapedandpresentedinwaysthatarepalatabletoindividualsandgroupswithdifferinginterestsand
needs.Sayles,whohasconductedthemostextensiveresearchontheseprocesses,notedthatthey
usuallybeganwithmissionarywork,inwhichpotentialbuyersandsellerswereidentifiedfor
possiblefutureuse.82Asurprisingrangeofcontactswasnecessarybecausehorizontalrelationships
fellintosomanydifferentcategories.All,however,requiredskilledsalesmanship:theabilityto
interestoutsidersinaproject,gainexceptionsfromstaffgroups,andconvincesupportspecialiststo
investtimeandresources.Forthisreason,themostcriticalprocesschoicesinvolvedframingand
presentation:decidinghowtosolicithelpandpresentproposalsinwaysthatappealedtoothersyetmet
onesbasicobjectives.
Sellingisalsorequiredinaverticaldirection.Middlemanagersmustnormallyconvincetheirsuperiors
ofthevalueoftheirproposalsiftheyhopetoseethemenacted;todoso,theyframeprojectsto
highlighturgencyandneed,bundletheminwaysthatincreasethelikelihoodofacceptance,and
assemblecoalitionstoprovidecredibilityandsupport.83Thisactivityisnotconfinedtomiddle
managers.Chiefexecutivesengageextensivelyinselling,foritisoftentheonlywaytheycangain
acceptanceoftheirstrategiesandplans.84

Monitoring and Control Processes

Onceoperationsareunderway,managersengageinathirdsetofprocesses,designedtoensurethat
theirorganizationsareperformingasplanned.Suchoversightactivitiesarenecessarybecausebusiness
environmentsareinherentlyunstable;theygenerateanynumberofunexpectedshocksand
disturbances.Monitoringandcontrolprocessesdetectperturbations,initiatecorrectiveaction,and
restoretheorganizationtoitspreviousequilibrium.85Typically,managersbeginwitheffortstosense
problemsandformulatethemclearly,followedbyprobestoclarifytheproblemsprecisenatureand
underlyingcauses.86Theycollectinformationthroughtheirowncontacts,otherscontacts,
observation,andreviewsofrecords.87Attimes,theyuseformalorganizationalprocesses,like
variancereporting;moreoften,effectivemonitoringisnonroutineandconductedaspartofother,
ongoinginteractions.88Here,criticalprocesschoicesincludetheinformationsourcestotap,thedatato
request,thequestionstopose,andtheamountoftimetoallowbeforedrawingconclusionsand
initiatingcorrectiveaction.

Recapping Managerial Skills

Thesethreeprocesseshavedifferentpurposes,tasks,andcriticalskills(seeTable2).Althoughmost
managerstreatthemasdistinctchallenges,atadeeperlevel,theyhavemuchincommon.Alldepend
onrichcommunication,patternrecognition,asensitivitytorelationships,andanunderstandingofthe
organizationspowerstructure.Perhapsmostimportant,allmanagerialprocessesinvolvecommon
choicesabouthowtoinvolveothersandrelatetothemastheorganizationmovesforward.Theyarethe
essenceofthemanagerscraftandcanbeappliedequallyeffectivelytodirectionsetting,negotiating
andselling,andmonitoringandcontrol.
Thevariablesarefew,butthecombinationsarevirtuallylimitless.Whatevertheissue,allmanagerial
processesinvolvesixmajorchoicesthatamanagermustmake:

Participants
(WhoseopinionsshouldIseek?WhomshouldIinvitetomeetings?Whoshouldparticipateintask
forces?Whichgroupsshouldberepresented?)

Timing and sequencing

(WhomshouldIapproachfirst?WhomshouldIinvitenext?WhichagreementsshouldIsolicitbefore
others?HowshouldIphaseeventsovertime?)

Duration
(HowmuchtimeshouldIdevotetoinformationcollection?HowmuchtimeshouldIgiveto
individualsandgroupsfortheirassignments?HowshouldIpaceeventstobuildmomentum?)

Framing and presentation

(HowshouldIdescribeandinterpretevents?HowshouldIheatupissuesorcoolthemdown?How
shouldIframeproposalsforsuperiors,subordinates,andpeers?WhatquestionsshouldIasktogain
information?)

Formats
(ShouldImakerequestsinpersonoroverthephone?ShouldIcommunicateinformationthrough
speeches,groupmeetings,orfacetofaceencounters?)

Style
(HowshouldIinduceotherstocooperate?HowshouldIutilizeanddistributerewardsand
punishments?WhattoneshouldItakewhendealingwithsuperiors,subordinates,andpeers?)
Therearemanypossibleanswers.Thisvarietyhelpsexplainwhymanagement,likemanyother
professions,continuestobemoreanartthanascience.89Inthefaceofmassiveuncertainty,managers
mustmakecomplexchoiceswithfewprecedentsorguidelines;theresultingprocessesseldomrepeat
themselvesexactly.Moreover,seeminglyminorvariationsinprocessescanhavemajorimpacts.
Changesinsequencing,withonecriticalindividualordepartmentcontactedbeforeanother,orshiftsin
format,withwrittenmemorandareplacingfacetofacemeetings,oftenproducedramaticallydifferent
coalitionsandresults.90Thesubtletyofthesedistinctions,plustheenormousrangeofpossibilities,is
whatmakesmanagerialprocessessodifficulttomaster.But,bythinkinginprocessterms,managers
aremuchmorelikelytolinktogethertheiractivitiestoproducethedesiredends.

Implications for Action

Theprocessperspectivefillsanimportantgap.Mostresearchonorganizationseitheremployshighly
aggregatedconceptslikestrategyorfocusesonlowleveltacticsandtasks.Researchersoftenignore
themiddleground.Processes,bycontrast,areintermediatelevelconceptsthatcombineactivitiesinto
cohesivewholes,yetofferafinegrained,differentiatedperspective.Theyarealsoinherentlydynamic.
Becauseprocessesunfoldovertime,theycapturelinkagesamongactivitiesthatareoftenlostinstatic
modelsandcrosssectionalanalyses.Aprocessapproachencouragesthinkinginstorylinesratherthan
events;theappropriatemetaphorisamovieratherthanasnapshot.91

Forthisreason,theapproachisunusuallyhelpfulinaddressingimplementationproblems.Managers
canarticulatetherequiredstepsinaprocess,aswellasimprovements.Bycontrast,traditionallistsof
rolesandresponsibilitiesleavetheassociatedactivitiesunspecifiedorundefined.Jobdescriptions
framedinprocesstermsshouldthereforemakeiteasierforuntrainedindividualstostepintonewjobs
andacquirenecessaryskills.92Managersshouldbeabletofocustheirquestioningofpeersand
subordinatesonissuesmoredirectlyrelatedtotheorganizationsoperation.93Andasensitivityto
processesshouldgivemanagersclearerguidelinesabouthowandwhentointerveneeffectivelyin
otherswork.94
Wecancombinethemajororganizationalandmanagerialprocessesintoasimple,integrating
framework(seeTable3).Theframeworkconsistsofdiagnosticquestionsthatallowmanagerstoassess
theeffectivenessoftheir,andtheirorganizations,approachestoaction.Forexample,thequestionIs
thereaclearrationale,direction,andpathofchange?asksmanagerstodeterminewhetherdirection
hasbeenseteffectivelyforaparticularchangeprocess.Similarly,thequestionHaveweobtainedthe
necessaryagreementsandresourcesfromupstreamanddownstreamdepartments?assesseswhether
negotiationandsellinghavebeenconductedeffectivelyforagivenworkprocess.Together,the
questionsprovideareasonablycompleteframeworkforevaluation.
Theframeworkhastwoprimaryuses:
First,itcanhelpmanagersdecidewhere,when,andhowtointerveneintheirorganizationsactivities.
Todoso,theyshouldworkdownthecolumnsofthematrix,askingeachquestioninturntoisolatethe
likelysourceofdifficultiesandidentifyappropriateremedialactions.Consider,forexample,a
companyexperiencingcustomerserviceproblems.Becausecustomerserviceisanoperational(work)
process,thequestionsinthefirstcolumnprovideguidance.Iftheanswerssuggestthatproblemscanbe
tracedtouncleargoals,managersneedtoinvesttimeinsettingandclarifyingobjectives.Ifthe
problemsreflectalackofsupportfromupstreamdesignersandmanufacturingpersonnel,managers
needtodevotetimetocrossdepartmentalnegotiationsandsalesmanship.Iftheproblemssignifyslow,
limitedcustomerfeedback,managersneedtoupgradetheprocessesformonitoringandcollecting
information.
Managerscanusethesameapproachforlesstangibleprocesseslikedecisionmaking.Supposethat
decisionmakingiscurrentlyparochialandunimaginative,andmanagershavedecidedtoimprovethe
processbyencouragingdissentandconstructiveconflict.Progress,however,hasbeenslow.Because
decisionmakingisabehavioralprocess,managersshouldusethequestionsinthesecondcolumnto
diagnosetheproblem.Iftheanswerssuggestthatdifficultiescanbetracedtounclearconcepts(e.g.,
Wedontknowhowtodistinguishconstructivefromunproductiveconflict),managersshouldfocus
onimproveddirectionsetting.Ifthedifficultiesreflectunderlyingdisagreementsaboutthe
appropriatenessofthedesiredbehaviors(e.g.,Weareapolitecompanyandseenoreasontoargue
withoneanother),managersshouldfocusonsellingthenewapproaches.Ifthedifficultiesarecaused
bypoorawarenessofcurrentpractices(e.g.,Wedontneedtodoanythingdifferentlybecausewe
alreadyentertaindiverseviewpointsanddebateissuesindepth),managersneedsharperrealtime
feedbackandmonitoring.Here,too,thematrixprovidesmanagerswithapowerfullensforidentifying
theunderlyingsourcesofproblemsandforframingresponsesinprocessterms.
Second,thematrixhelpsmanagersidentifytheirpersonalstrengthsandweaknesses.Becausedirection
setting,negotiationandselling,andmonitoringandcontrolareverydifferentprocesses,fewmanagers
areequallyadeptatallthree.Onewaytoidentifyareasneedingworkisformanagerstoproceedacross
therowsofthematrix,askingtherelevantdiagnosticquestionsaboutdiverseorganizationalactivities.
Forexample,toassessdirectionsettingskills,amanagermightlookatanumberofoperational
processesunderhisorhercontroltoseeifcleargoalshavebeenestablished,mightreviewavarietyof
decisionmakingandcommunicationprocessestoseeifpreferredapproacheswereclearlydescribed
andunderstood,andmightassessseveralcurrentchangeinitiativestoseeiftherationale,direction,and
pathsofchangewereclear.Aseriesofnosinarowmeansthatthemanagerneedstoimprove
directionsetting.Aswiththepreviousassessmentsoforganizationalprocesses,managerscanconduct

theseevaluationsworkingaloneintheiroffices,teamsofexecutivesresponsibleforrelatedprojectsor
programscanworkingroups,orentiredepartmentsorunitscanworkcollectively.Ingeneral,thesize
oftheevaluatinggroupshouldcorrespondtothescopeoftheprocessunderreview,andthelargerthe
group,themorelikelythatformalapproachestodatacollectionsuchassurveys,questionnaires,and
diagnosticscaleswillbeneeded.
Clearly,aprocessperspectivehasmuchtooffer.Itshedslightonmanypressingquestionsof
organizationandmanagementwhileprovidinganumberofpracticalguidelines.HereIpresenta
startingpoint,ataxonomyandframeworksfordefining,distinguishing,andclassifyingthemajortypes
ofprocesses.Usedwisely,theywillimprovemanagersabilitytogetthingsdone.

References (208)
1.B.S.ChakravarthyandY.Doz,StrategyProcessResearch:FocusingonCorporateSelfRenewal,
StrategicManagementJournal,volume13,specialissue,Summer1992,pp.514,quotefromp.6.
2.L.B.Mohr,ExplainingOrganizationalBehavior(SanFrancisco:JosseyBass,1982);

Show All References