Thesis: Ph. D., Massachusetts Institute of Technology, Department of Electrical Engineering and Computer Science, 1976 / Bibliography: leaves 292-296. / Ph. D. / Ph. D. Massachusetts Institute of Technology, Department of Electrical Engineering and Computer Science

Thesis (MBA (Business Management))--University of Stellenbosch, 2010.

This dissertation explores ways in which “capacity-building” might contribute to processes of social change in complex environments. This exploration emerged as part of a personal journey as a capacity-building practitioner to help make sense out of my prior work experience. In my experience, I learned first-hand how many of the “capacity” challenges that my colleagues and I were trying to address in different organizations were complex, “messy” and uncertain. At the same time, many of the capacity-building tools and methodological processes I commonly used assumed a world that was predictable, neat and controllable. These assumptions led to many occasions in which capacity-building processes and methods did not make sense in specific situations, or did not generate expected significant changes. I saw my PhD as a way of addressing many unanswered questions and developing capacity-building methodology that would be relevant to the complex realities in which I worked. At the Institute of Development Studies (IDS), I became much more aware not only of the complexity of my prior capacity-building work in development, but also of its apolitical nature. I was well aware of the contested nature of social change, both from my prior studies and my previous life and work experiences. However, after nine years working as a capacity-building process designer and facilitator for a large American Non-governmental Organization (NGO), I had come to use methodology without considering whether it might even be compatible with concepts of social change. I mostly assumed methodology to be neutral and apolitical, but did not see this as a problem. In my PhD process, I was fortunate to see first-hand how methodology that practitioners assume to be apolitical actually lacks a theory capable of explaining change, and thereby may reproduce the status quo. This is a strong political position indeed. My research starts from the assumption that the way people and organizations change in relation to economic, social and environmental concerns is complex and contested. Complex, in that multiple actors and factors—many of them unknowable—combine to affect how social change actually emerges in real life. Contested, in that power relations enable and constrain the fields of possibility for positive change for all people, and thereby generate winners and losers in the process. Indeed, the contested nature of social change is one of its primary sources of complexity. Methodologically, I conducted two action-research processes over 18 months; one with a progressive organization that supports social movements in Perú, and the other with a private environmental conservation organization in Ecuador. I used an emergent, learning-based action-research (AR) approach strongly influenced by systemic theories, with a particular focus on Peter Checkland's Soft Systems Thinking (SST). Different methodological principles emerged in each organizational AR process, providing important insights into how capacity-building can support social (and socio-environmental) change processes in complex environments. Whereas SST and AR prominently informed my methodology, Ralph Stacey, Patricia Shaw, and Douglas Griffin's “Complex Responsive Processes” (CRP) was the main theory I used to connect methodological capacity-building intervention to complexity theory. CRP is a theory that explains how complex adaptive systems (CAS) emergently self-organize from local, communicative interaction. Drawing on these different sources and based on my empirical data, my dissertation explores the following themes: – How organizational learning and change occur through the shifting interacting dynamics of conversations and other forms of communicative interaction, and how organizational capacity emerges in these shifting dynamics. – How capacity-building methodology can help surface—via communicative interaction—the complexity of social change that organizations face. Particularly: o How methodology that engages multiple ways of knowing is helpful in accessing doorways to diverse thought, feelings, and identity, and how this diversity plays a key role in influencing the patterns of communicative interaction that emerge. o How the intentional contrasting of multiple, diverse perspectives, and worldviews (i.e.—SST focus) charges conversations with meaning and is capable of shifting patterns and generating learning in communicative interaction. o How two ostensibly oppositional forms of methodology—methodological redundancy and unstructured reflection—enable and constrain how patterns of communicative interaction emerge and support learning, when diversity is also present. – How all communicative interaction enacts power relationships that generate dynamics of inclusion and exclusion, and how these dynamics affect the patterns of communicative interaction—i.e. learning and change—that emerge. These methodological findings lead to some interesting implications for how CB is conceived and practiced. If capacity as learning emerges in complex environments via shifts communicative interaction, then a core purpose of CB becomes strengthening the ability of organizational participants—“within” an organization and in relation to key “system” stakeholders—to actively relate and interact with each other in organic (i.e. uncontrived) ways. This active relating is situational and as such implies looking for opportunities to “add” systemic methodological support to real-life situations and experiences. My research has contributed new knowledge by helping explain how systemic capacity-building methodology can support processes of social change in complex environments. Systems thinking is often used anecdotally in capacity-building, without making explicit connections between theory and practice. Complexity theory, when referenced at all in capacity-building literature, is limited to claims about the need to act differently in a complex world. My research has made the following important contributions: 1) Provides empirical cases that connect systemic capacity-building methodology to Complex Responsive Processes theory in a plausible manner, and thus, make these connections more explicit. 2) Develops plausible connections between concepts of extended epistemologies (as a source of diversity) and complexity theory 3) Demonstrates the relative importance of critical reflection alongside the use of more-structured methods to generate organizational capacity 4) Offers—as a conversation starter—an alternative interactive communication understanding of capacity development, which asks critical questions of much dominant CD theory and practice. I believe that the findings and learning from this research can help generate critical, non-linear approaches to capacity-building methodology that serve the needs of complex, contested social change in a more meaningful manner.

The focus of this study was the unconscious dynamics in the consultant-client relationship as industrial and organisational psychologists seek to achieve change in client organisational systems. Twelve psychodynamic themes were used to interpret a journal maintained by the consultant throughout one consulting assignment, in an effort to understand the unconscious processes influencing the effectiveness of the consulting relationship. Analysis found that the client system imported the consultant to carry nurturing and healing on behalf of the system, but projected onto and into him the confusion, pain, hostility and incompetence in the system, stripped him of authority and manipulated him out of his role as change agent. The consultant unconsciously accepted the projections, failed to contain the system’s anxiety, gravitated towards the paranoid-schizoid position and was unable to effect meaningful change. Recommendations where made for the use of this form of psychodynamic analysis as a self-evaluative tool in the consulting context. / Industrial and Organisational Psychology / M.A.

The focus of this study was the unconscious dynamics in the consultant-client relationship as industrial and organisational psychologists seek to achieve change in client organisational systems. Twelve psychodynamic themes were used to interpret a journal maintained by the consultant throughout one consulting assignment, in an effort to understand the unconscious processes influencing the effectiveness of the consulting relationship. Analysis found that the client system imported the consultant to carry nurturing and healing on behalf of the system, but projected onto and into him the confusion, pain, hostility and incompetence in the system, stripped him of authority and manipulated him out of his role as change agent. The consultant unconsciously accepted the projections, failed to contain the system’s anxiety, gravitated towards the paranoid-schizoid position and was unable to effect meaningful change. Recommendations where made for the use of this form of psychodynamic analysis as a self-evaluative tool in the consulting context. / Industrial and Organisational Psychology / M.A.

The study of the Clackamas Small Business Development Center's Small Business Management Programs (SBM) had three research objectives: to ascertain what information should be transferred to small business owners and how best to transfer that information; to ascertain what information is presently being transferred to clients and what methods are used in transferring the information; and to survey clients in order to develop a current demographic profile, measure their level of satisfaction with the assistance received, and ascertain what they perceived were the benefits of the program to their companies. Prior to the study, there had been little systematic research of what information should be transferred to SBDC clients and the most effective methods for transferring that information. The small business growth stage literature was used to develop the recommended body of information. The adult learning literature was used to develop the recommended methods for transferring that information to clients. The majority of respondents were women, well educated, middle-aged, and from companies in service related industries that employed few workers. The findings suggest that clients desire an increase in both the appropriateness of the program's informational content and the level of their involvement in tailoring the SBM program to the needs of their organizations. As suggested by the Small Business Growth Stage Models, a statistically significant decline in client satisfaction of the program's informational content was found to exist between stage two and stage three business owners. The study found that instructors did not utilize specific business factors (such as sales levels, numbers of employees, etc.) in developing the informational content of the SBM programs. Instructors also did not utilize client preferred learning styles, or formal client involvement in developing the instructional design of the SBM program. The study found that clients and center personnel appear to differ in their perceptions regarding the role of the instructor and the purpose of the SBM program. Clients appear to envision the role of the instructor as more of a consultant, while instructors view their role as preparing clients to solve their own problems.