Chapter 4: Organizational Culture and Innovation

4.1: Culture

4.1.1: Defining Organizational Culture

Organizational culture can be defined as the collective behavior of people within an organization and the meanings behind their actions.

Learning Objective

Define culture and it’s conceptual development within the context of organizations and innovation

Key Points

Culture is inherently intangible, and a static definition of culture struggles to encapsulate the meaning and implications of its role in an organization.
One way to define culture is simply as the overarching mentality and expectation of behavior within the context of a given group (e.g., an organization, business, country, etc.).
Corporate culture is usually derived from the top down (i.e., upper management sets the tone) and comes in the form of expectation and consistency throughout the organization.
Culture can be manipulated and altered depending on leadership and members. Instilling positive culture that promotes effective employee behavior is a manager’s primary task.
While there are many models for and perspectives on defining culture within an organization, models such as Geert Hofstede’s, Edgar Schein’s and Gerry Johnson’s are useful in properly framing a comprehensive definition.

Key Term

culture: The beliefs, values, behavior, and material objects that constitute a people’s way of life.

Culture is inherently intangible, and a static definition of culture struggles to encapsulate the meaning and implications of its role in an organization. One way to define culture is simply as the overarching mentality and expectation of behavior within the context of a given group (e.g., an organization, business, country, etc.). Culture provides a guiding perspective on how individuals within that group should act, and what meaning can be derived from those actions. Expectation, traditions, value, ethics, vision, and mission can all both communicate and reinforce a given group culture. Above all else, culture must be shared internally; otherwise it loses its form.

Culture in Business

Corporate culture is usually derived from the top down (i.e., upper management sets the tone) and comes in the form of expectation and consistency throughout the organization. All employees and managers must uphold these cultural expectations to generate a working environment that correlates to cultural expectations. The shared assumptions should be implicit in behavior and explicit in the mission, vision and ethics statements of the organization. Consistency between expectation and action is key here.

People working at Wikimedia

Even small things, such as the way an office space is set up, can set the tone for organizational culture.

Culture and Adaptability

Culture can be manipulated and altered, depending on leadership and members. Let’s take the simple example of a car dealership. Selling cars is usually a commission business, where the salesperson is a central success factor. Many car dealerships find that competition is an effective cultural component and embed that into the organization. This is easily accomplished with the right tools. A car dealership owner may hire specifically for competitiveness, making it clear that this is the type of individual they want to hire. The owner can create high variable salary and low fixed salary so that high performers are much more highly prized and rewarded than ineffective salespeople. The owner could give out awards at the end of each quarter to the most successful salesperson. The list could go on and on, but the important consideration here is how strategy and culture can be intertwined to evolve together.

Perspectives on Culture

Culture is a deeply important element of organizations and societies that is studied extensively in a variety of disciplines. This has generated more definitions of culture and how to go about empirically measuring it than could be touched upon in one overview. However, a few important perspectives for a business manager include:

Hofstede’s Cultural Dimensions Theory – Postulates that cultural differences to be aware of include different perspectives on power distance, masculinity (vs. femininity), individualism (vs. collectivism), avoidance of uncertainty, long-term orientation, and indulgence.
Schein’s Cognitive Levels of Organizational Culture – Edgar Schein believes that culture can be viewed most simply via artifacts (e.g., facilities, dress code, etc.), more acutely through values (e.g., focus on quality, loyalty or other central values) and most complexly through tacit assumptions (i.e., unspoken rules of behavior and other intangible expectations that are very difficult to observe and measure).
Gerry Johnson’s Cultural Web – This includes the elements of culture, which is an important aspect of how we define it. Johnson underlines the paradigm, control system, organizational structure, power structure, symbols, stories, and myths as central determinants of what a given organizational culture stands for.

While each of these theories is complex, all together they help create a clearer picture of what exactly culture is and how it applies to managers and organizations.

4.1.2: The Impact of Culture on an Organization

Culture is a malleable component of an organization that can adapt and evolve through influences to create value.

Learning Objective

Identify the central components of an organization or company that result from the influence cultural dispositions

Key Points

Culture, particularly in large organizations that have a great deal of momentum, can be difficult to influence or change.
Understanding how to change an organizational culture requires some insight into what creates culture in the first place and how altering those components may impact meaningful cultural development.
Some examples of organizational facets that influence culture are mission and vision statements, control systems, organizational structures, power hierarchies, symbols, routines, and internal stories and myths.
When integrating culture change, it is important to update mission and vision statements, ensure buy-in from upper management, update control systems and power hierarchies, hire people representative of the desired culture (and remove those who are not), and update the corporate ethos.

Key Terms

paradigm: A system of assumptions, concepts, values, and practices that constitutes a way of viewing reality.
joint venture: A cooperative partnership between two individuals or businesses in which profits and risks are shared.
inertia: The property of a body that resists any change to its uniform motion; equivalent to its mass. Figuratively, in a person, unwillingness to change.

Culture, particularly in large organizations that have a great deal of internal momentum, can be difficult to influence or change. The size of an organization and the strength of its culture are the biggest contributors to cultural inertia. Big and strong organizational cultures will have a powerful tendency to continue moving in the direction they are already moving (momentum). Therefore, managers must understand not only how to create culture, but also how to change it when necessary to ensure a positive, efficient and ethical culture.

Cultural Factors

Understanding how to change an organizational culture requires some insight into what creates culture in the first place and how altering those components may impact meaningful cultural development. Gerry Johnson’s cultural web offers great clarity about how an organizational culture responds to and reflects influencing factors. These include:

The paradigm: The mission statement, vision, ethics statement, and other overt definitions of culture.
Control systems: The processes in place to monitor what is going on, such as an employee handbook.
Organizational structures: This comes down to the hierarchy, or who reports to whom and why.
Power structures: Similar to the organizational structure above, this pertains to who has the power to make decisions.
Symbols: Most organizations have brand images and other symbols which represent what the culture stands for (logos, etc.).
Rituals and routines: In the business setting this is simply the way in which group interactions are organized. One example is the weekly staff meeting.
Stories and myths: CEOs and other figureheads often have stories or legends associated with them; this generates culture through idolatry.

While these are only a few of the elements of culture, they capture a wide variety of components that managers can use to influence and change the general cultural predisposition.

Implementing Culture Change

Cummings and Worley identify a useful way to frame the stages or steps in integrating broad organizational change through cultural reform in six stages, which correlates well with the factors identified above. These stages include:

Ensure clarity in the strategic vision. This means making sure that the mission statement, vision statement and overall strategy work together to create one strong culture statement. The vision in particular must describe the new culture forcefully and persuasively.
Ensure buy-in from the top down. This means communicating (and often determining) specific aspects of needed culture change at the upper managerial level.
Lead by example. Top management needs to exhibit the kinds of values and behaviors that they want to see in the rest of the company.
Identify areas in the organizational structure and control systems which require updates to conform with the new or adapted culture. This includes altering employee handbooks, compensation strategies, hierarchy, decision-making authority and other central components of structure.
Follow through on the mandate. Terminating employees who do not conform to the desired culture is difficult. But it allows you to bring in new talent that aligns better with your desired culture. Ensuring proper emphasis on the new culture in training materials is useful in this process.
Finally, ensure that the ethical and legal implications of the adapted culture are understood, planned for and in line with corporate ethics.

Joint ventures and mergers and acquisitions usually require large cultural changes. When different cultures come together it is wise to expect some degree of culture-clash and differences of opinion. Managers, particularly upper management, must be aware of the implications of cultural change, the facets of organizational culture and the steps involved in altering it. While this model describes a long process that is generally more applicable to large cultural overhauls, the general strategy is useful for managers leading meaningful cultural change at all levels.

4.1.3: Types of Organizational Culture

While there is no single “type” of organizational culture, some common models provide a useful framework for managers.

Learning Objective

Differentiate between varying organizational culture tendencies, specifically within the context of Hofstede’s cultural dimensions theory

Key Points

While there are many ways to divide and define culture into “types,” Geert Hofstede, Edgar Schein, and Charles Handy provide three basic theoretical frameworks.
Hofstede postulates six dimensions of culture based on a study conducted at IBM offices in 50 different countries. These include power distance, uncertainty avoidance, individualism (vs. collectivism), masculinity (v.s femininity), long-term orientation, and restraint.
Edgar Schein organizes culture into three types: artifacts (tangible cultural displays), values, and assumptions.
Charles Handy identifies four types of organizational culture: power, role, task, and person. Each type of culture has strong implications on types of organizational structure.

Key Terms

normative: Of, pertaining to, or using a norm or standard.
cultural: Of or pertaining to culture.

Several methods have been used to classify organizational culture. While there is no single “type” of organizational culture, and cultures can vary widely from one organization to the next, commonalities do exist, and some researchers have developed models to describe different indicators of organizational cultures. We will briefly discuss the details of three influential models on organizational cultures.

Hofstede’s Cultural Dimensions

While there are several types of cultural and organizational theory models, Hofstede’s cultural dimensions theory is one of the most cited and referenced. Hofstede looked for global differences in culture across 100,000 IBM employees in 50 countries in an effort to determine the defining characteristics of global cultures in the workplace. With the rise of globalization, this is particularly relevant to organizational culture.

Through this process, he underlined observations that relate to six different cultural dimensions (originally there were five, but they have been updated in response to further research):

Power distance: Power distance is simply the degree to which an authority figure can exert power and how difficult it is for a subordinate to contradict them.
Uncertainty avoidance: Uncertainty avoidance describes an organization’s comfort level with risk-taking. As risk and return are largely correlative in the business environment, it is particularly important for organizations to instill a consistent level of comfort with taking risks.
Individualism vs. collectivism: This could best be described as the degree to which an organization integrates a group mentality and promotes a strong sense of community (as opposed to independence) within the organization.
Masculinity vs. femininity: This refers to the ways that behavior is characterized as “masculine” or “feminine” within an organization. For example, an aggressive and hyper-competitive culture is likely to be defined as masculine.
Long-Term Orientation: This is the degree to which an organization or culture plans pragmatically for the future or attempts to create short-term gains. How far out is strategy considered, and to what degree are longer-term goal incorporated into company strategy?
Indulgence vs. Restraint: This pertains to the amount (and ease) of spending and fulfillment of needs. For example, a restrained culture may have strict rules and regulations for tapping company resources.

Edgar Schein’s Cultural Model

Edgar Schein’s model underlines three types of culture within an organization, which, as a simpler model than Hofstede’s, is somewhat more generalized. Schein focuses on artifacts, values, and assumptions:

Schein’s model

Diagram of Schein’s organizational behavior model, which depicts the three central components of an organization’s culture: artifacts (visual symbols such as office dress code), values (company goals and standards), and assumptions (implicit, unacknowledged standards or biases).

Artifacts: The simplest perspective on culture is provided by the tangible artifacts that reveal specific cultural predispositions. How desks are situated, how people dress, how offices are decorated, etc., are examples of organizational artifacts.
Values: Values pertain largely to the ethics embedded in an organization. What does the organization stand for? This is usually openly communicated with the public and demonstrated internally by employees. An example might be a non-profit organization trying to mitigate poverty. The values of charity, understanding, empowerment, and empathy would be deeply ingrained within the organization.
Assumptions: The final type of culture, according to Schein, is much more difficult to deduce through observation alone. These are tacit assumptions that infect the way in which communication occurs and individuals behave. They are often unconscious, yet hugely important. In many ways, this correlates with Hofstede’s cultural dimensions. For example, a culture of avoiding risk wherever possible may be an assumption which employees act upon without realizing it, and without receiving any directives to do so. High power distance could be another, where employees intuit that they should show a high degree of deference to their superiors without being specifically told to do so.

Charles Handy’s Four Types of Culture

Charles Handy put forward a framework of four different types of culture that remains relevant today. His four types include:

Power culture: In this type of culture, there is usually a head honcho who makes rapid decisions and controls the organizational direction. This is most appropriate in smaller organizations, and require a strong sense of deference to the leader.
Role culture: Structure is defined and operations are predictable. Usually this creates a functional structure, where individuals know their job, report to their superiors (who have a similar skill set), and value efficiency and accuracy above all.
Task culture: Teams are formed to solve particular problems. Power is derived from membership in teams that have the expertise to execute a task. Due to the importance of given tasks, and the number of small teams in play, a matrix structure is common.
Person culture: In this type of culture, horizontal structures are most applicable. Each individual is seen as valuable and more important than the organization itself. This can be difficult to sustain, as the organization may suffer due to competing people and priorities.

While there are many other ways to divide and define culture, these three offer a good window into the literature surrounding cultural types.

4.1.4: Core Culture

Core culture is the underlying value that defines organizational identity through observable culture.

Learning Objective

Identify the general definition and characteristics of a healthy core culture, alongside how this translates into observable culture.

Key Points

Core and observable culture are two facets of the same organizational culture, with core culture being inward-facing and intrinsic and observable culture being more external and tangible (outward-facing).
In essence, core culture defines the values and assumptions of an organization, as described by Edgar Schein’s Model of Organizational Culture.
Core culture is made up of the intangible values and ethos that define an organization’s cultural framework. Observable culture is the external reflection of this cultural perspective.
Management is tasked with both the creation and consistent application of core culture at the organizational level.

Key Term

Core Culture: The underlying value that defines the organization’s identity through observable culture.

Core Culture and Observable Culture

Core and observable culture are two facets of the same organizational culture, with core culture being inward-facing and intrinsic and observable culture being more external and tangible (outward-facing). Core culture, as the name denotes, is the root of what observable culture will communicate to stakeholders. Core culture is more ideological and strategic, representing concepts such as vision (long-term agenda and values), while observable culture is more of a communications channel (i.e., stories, logos, symbols, branding, mission statement, and office environment).

Edgar Schein and Core Culture

One useful theoretical framework to consider when differentiating between core and observable culture is Edgar Schein’s Organizational Culture Model. This mode simply and efficiently illustrates the cultural facets of a given organization as an upside-down triangle.

Schein’s model of organizational culture

The broader base at the top of the inverted pyramid represents artifacts, the simplest and most physical (i.e., observable) elements of a given culture. This includes the way desks are situated in an office (collaborative or individualistic?), the colors and shapes used in the logo, the general dress code, etc.

The next level is values, which bridges the gap between observable and core culture. Values are explicitly and observably stated in organizational literature (i.e., the employee handbook and mission statement), but also implicitly executed in individual behaviors. While it is observable when the CEO makes a public statement for shareholders or when the promotional team writes a press release, it is also derived directly from discussions of what the core culture is. This is where observable culture begins to transform into core culture.

The final component identified by Schein is parallel with the concept of core culture: assumptions. The assumptions made by the individuals within an organization are so intimately tied to the core organizational culture that they are virtually unrecognizable. In many ways, one could equate core culture with an individual’s subconscious. While our subconscious so often drives our conscious behavior, we rarely realize it. Core culture has the same relationship with observable culture: core culture is created first, and ultimately drives the visible cultural aspects of the organization.

Creating Core Culture

Organizational culture, both observable and core, is created first at the managerial level. Leaders must define not only what it is they are working towards, but also how the organization will come to define itself during the process. The core culture created by leadership sets the tone for employee behavior and assumptions in the future.

Upper management must decide which values and ethos will constitute the core of the organizational culture, and then instill this internally, in their employees, and communicate it externally, to stakeholders (via observable culture). Management is tasked with both the creation and consistent application of core culture at the organizational level.

4.2: Shaping Organizational Culture

4.2.1: Building Organizational Culture

Managers are tasked with both creating and communicating a consistent organizational culture.

Learning Objective

Describe strategies used by managers to create and maintain a consistent organizational culture.

Key Points

The process of instilling culture into an organization involves communicating and integrating a broad cultural framework throughout the organizational process.
A strong culture is integral to long-term organizational sustainability and success; a primary responsibility of management is to both define and communicate this sense of shared organizational culture.
Organizational culture is often defined by the work environment that management creates (i.e., mission statement, organizational structure, rules, symbols, etc.).
Managers must be careful to instill the culture that is most conducive to both the strategy and objectives of the organization over the long term.

Key Terms

organizational culture: The collective behavior of the people who make up an organization, including values, visions, norms, working language, systems, symbols, beliefs, and habits.
culture: The beliefs, values, behavior, and material objects that constitute a people’s way of life.

Organizational culture refers to the collective behavior of the people who make up an organization; this includes their values, visions, norms, working language, systems, symbols, beliefs, and habits. Organizational culture affects the way people and groups interact with each other, with clients, and with stakeholders. A strong culture is integral to long-term organizational sustainability and success, and one of management’s primary responsibilities is to both define and communicate this sense of shared culture.

The process of ingraining culture into an organization is simply one of communicating and integrating a broad cultural framework throughout the organizational process. Central to this process is ensuring that each and every employee both understands and aligns with the values and direction of the broader organization. This creates a sense of community among employees and ensures that the broader objectives and mission of the organization are clear.

While there are a variety of cultural perspectives and many organizational elements within a culture, the initial process of instilling culture is relatively consistent from a managerial perspective. The creation of a given culture is often defined by management’s strategy for addressing the following issues:

The paradigm: Management determines both the mission and vision of the organization and sets a groundwork for the values that employees are expected to align with. Determining these factors and communicating them effectively are absolutely critical to successfully instilling organizational culture.
Control systems: An example of this may be an employee handbook where behavioral expectations are laid out explicitly (where possible) for employees to read and understand.
Organizational structures: The choice of an organizational structure has enormous cultural implications for openness of communication, organization of resources, and flow of information.
Power structures: Power and culture are often intertwined: the degree to which specific individuals are free (or not) to make decisions is indicative of the openness and fluidity of the organization.
Symbols: All strong brands associate with symbols (think logos). These are not randomly selected: symbols show which specific facets of an organizational culture management considers most important.
Rituals and routines: Routines are strong behavior modifiers that significantly impact the culture of a given organization. A looser and more open work environment (limited routines, high individual freedom) may create more innovation while heavily structured routines may create more efficiency and predictability.
Stories and myths: Finally, stories are powerful communicators of culture. Walmart uses Sam Walton’s founding as a powerful myth to promote efficiency and the desire to try new things and integrate various products and services. This is organizationally defining.

Cultural change in an organization

The feedback loop of cultural change in an organization involve people’s intentions to enable, engage, encourage, and exemplify the new desired behaviors; this in turn influences the frequency of behaviors. After enough reinforcement, those behaviors become the norm, which self-reinforces through increasing people’s exemplification of those behaviors.

Overall, managers must be aware of their role as cultural ambassadors and their responsibility in creating a context for successfully instilling organizational culture. For example, promoting a strong authoritarian hierarchy and strong innovation would be an oversight in the field of organizational culture from a management professional. Managers must be careful to instill the culture that is most conducive to both the strategy and objectives of the organization over the long term.

4.2.2: Communicating Organizational Culture

Management is tasked with both creating culture and accurately communicating it across the organization.

Learning Objective

Recognize the role of management in communicating and teaching organizational culture to employees and subordinates.

Key Points

Corporate culture is used to control, coordinate, and integrate company subsidiaries.
The role of the manager is essential to the successful communication of a given organizational culture because managers are figureheads and role models for how individuals in the organization should behave.
Organizations should strive for what is considered a “healthy” organizational culture to increase productivity, growth, efficiency, and to reduce counterproductive behavior and turnover of employees.

Key Term

organization: A group of people or other legal entities with an explicit purpose and written rules.

Corporate culture is used to control, coordinate, and integrate company subsidiaries. Culture runs deeper than this definition, however, because culture also represents the embedded values, traditions, beliefs, and behaviors of a given group. Culture is indicative not only of what individuals pursue and believe in, but also their behaviors, assumptions, and communications. As a result, culture is both complex to create and challenging to communicate and imbue within the organization.

Communicating Culture

The role of the manager is essential to the successful communication of a given organizational culture because managers are figureheads and role models for how individuals in the organization should behave. While it is too simplistic to say that culture is a top-down communicative process, there is relevance to the idea that culture generally begins with the founders of the organization and the values they emphasize in the organizational growth and hiring process.

Leaders have a number of tools and strategies at their disposal to communicate culture. Some of the most critical of these are structure, hierarchy, mission and vision statements, employee handbooks, hiring processes, and employee training and initiation. With many diverse tools for communicating culture comes the challenge of aligning each perspective for consistency of message: for instance, the employee training program must emphasize the same values as the mission statement and must match the executive mandate for organizational structure and design.

Communication is the core tool for managing this cultural integration, enabling executives to remind employees what the organization stands for and why it’s important. Holding company-wide quarterly meetings to emphasize objectives and strategy and sending out emails with key successes and developmental challenges are great ways to keep the conversation going.

The Role of HR

It is also critical to make the hiring process match and promote the culture by hiring talent that is consistent with cultural expectations and implementing training programs that effectively emphasize what the organization stands for and why. Human resource professionals are tasked with identifying candidates with culturally consistent perspectives and with underlining the importance of cultural considerations in interviews and on-boarding processes.

Organization triangle

This organization triangle illustrates the idea that structure, process, and the people involved all contribute to the culture of an organization.

4.2.3: Building a Culture of High Performance

A high-performing culture is a results-driven business culture focused on generating efficiency and completing objectives.

Learning Objective

Analyze the primary drivers and positive characteristics of a high-performing culture.

Key Points

Every business has its own culture. High-performance cultures are specifically focused on setting and accomplishing objectives with a high degree of efficiency and efficacy.
High-performing teams are an integral component of high-performance cultures.
A high-performing team is a group of people with complementary talents and skills. They are given clear roles and are committed to a common purpose. This enables synergy.
Culture is a combination of individual perspectives and the environment in which they operate. Business looking to create a high-performance culture must create an interdependent environment which empowers employee responsibility and decision-making.

Key Terms

SMART: Goal-setting criteria: Specific, Measurable, Attainable, Realistic, and Timely.
performing: The stage of group development when the the team is able to function as a unit, finding ways to get the job done smoothly and effectively without inappropriate conflict or supervision.
high-performing team: groups that are highly focused on their goals and that achieve superior business results.

Organizations need to be productive in order to achieve their goals. Over time, productivity can become a part of organizational culture, eventually becoming integrated into the company’s operations and processes. The business becomes known for its productivity, and high performance becomes second-nature for its employees. A high-performing culture is defined by a focus on generating and accomplishing objectives. There is a strong sense of both results-orientation and employee interdependence.

A High-Performing team

An effective way to achieve high-performing culture is to create high-performing teams. A high-performing team is best defined as a group of interdependent employees whose skills and personalities complement one another and lead to above-average operational results. High-performance teams are a central building block of high-performance culture, and they thrive in innovative and empowering environments.

Leadership in any team environment is critical to success, but leadership within a high-performance culture is often complex. While leadership is normally static in a hierarchical environment, high-performance teams benefit from shared leadership by utilizing the different talents and perspectives of each team member in the decision-making process. This creates a strong culture of shared leadership which in turn can generate above-average results and highly motivated employees who trust one another.

Culture is defined by creating its own consciousness in an organization, indicating shared norms and values. These shared values are central elements of the organization, as they generate buy-in and dedication from employees. These shared values create an expectation of success, both professional and personal, that can create high levels of trust and shared accountability. In short, shared values are key to creating strong team dynamics.

There are ten elements in particular that are important to successfully integrating high-performance teams within an organizational culture:

Participative leadership – Involve the entire team when making decisions, and rely on specialists only when applicable.
Effective decision making – Ensure that decision-making is both strategic and efficient. Group decision-making is often slowed when team dynamics are weak, which requires team-building to fix.
Open and clear communication – As always with group dynamics, communication is key to success. Ensure everyone is speaking and listening.
Valued diversity – Team synergy is lost when groupthink dominates the discussion. Instill open-mindedness and dispel social fears of disagreeing.
Mutual trust – Reliance upon one another, and trust in each other’s skills and capabilities, allows for less duplication of work and more overall synergy.
Managing conflict – Conflict is inevitable and not necessarily a bad thing. Deal with it calmly and without personal biases or emotions. Let the best ideas win.
Clear goals – SMART objectives are essential to high performance, just as understanding where one is going is essential to finding the best route.
Defined roles and responsibilities – Everyone should have a clear understanding of why they are on the team and what they are responsible for.
Coordinated relationships – Building strong team dynamics requires team members to understand each other and build strong relationships. Utilize ice-breaking activities and promote casual discussion to get this started.
Positive atmosphere – Wherever possible, make sure the general perspective is one of constructive commentary. Maintaining a positive outlook empowers communication and improves team spirit.

New York Yankees

A Great Team

4.3: Adapting and Innovating

4.3.1: Benefits of Innovation

Innovation may be linked to positive changes in efficiency, productivity, quality, competitiveness, and market share, among other factors.

Learning Objective

Identify the organizational benefits derived through enabling internal innovation

Key Points

Innovation is the development of customer value through solutions that meet new needs, unarticulated needs, or existing market needs in unique ways.
Innovative employees increase productivity by creating and executing new processes which in turn may increase competitive advantage and provide meaningful differentiation.
Managers who promote an innovative environment can see value through increased employee motivation, creativity, and autonomy; stronger teams; and strategic recommendations from the bottom up.
Clarity about and understanding of roles, increased responsibilities, strategic partnerships, senior management support, organizational restructuring, and investment in human resources can all enrich organizational culture and innovation.

Key Terms

innovation: A change in customs; something new and contrary to established customs, manners, or rites.
productivity: The rate at which goods or services are produced by a standard population of workers.
efficiency: The extent to which a resource, such as electricity, is used for the intended purpose; the ratio of useful work to energy expended.

Defining Innovation

Innovation is the development of customer value through solutions that meet new, undefined, or existing market needs in unique ways. Solutions may include new or more effective products, processes, services, technologies, or ideas that are more readily available to markets, governments, and society.

Innovation is easily confused with words like invention or improvement. They are, however, different terms. Innovation refers to coming up with a better idea or method, or integrating a new approach within a contextual model, while invention is more statically about creating something new. Innovation refers to to finding new ways to do things, while improvement is about doing the same thing more effectively.

Organizational Benefits of Innovation

From an organizational perspective, managers encourage innovation because of the value it can capture. Innovative employees increase productivity through by creating and executing new processes, which in turn may increase competitive advantage and provide meaningful differentiation. Innovative organizations are inherently more adaptable to the external environment; this allows them to react faster and more effectively to avoid risk and capture opportunities.

From a managerial perspective, innovative employees tend to be more motivated and involved in the organization. Empowering employees to innovate and improve their work processes provides a sense of autonomy that boosts job satisfaction. From a broader perspective, empowering employees to engage in broader organization-wide innovation creates a strong sense of teamwork and community and ensures that employees are actively aware of and invested in organizational objectives and strategy. Managers who promote an innovative environment can see value through increased employee motivation, creativity, and autonomy; stronger teams; and strategic recommendations from the bottom up.

Managers can accomplish this through providing top-down support to employees, providing clear roles and responsibilities while allowing individuals the freedom to pursue these as they see fit. Supporting the HR and IT departments so that they can provide training and tools for higher employee efficiency can contribute substantially to a culture of internal innovation. This requires open-minded and motivational leaders in managerial positions who are capable of steering employee efforts without diminishing employee creativity.

4.3.2: Characteristics of Innovative Organizations

According to recent research, companies that make a commitment to innovation are exceptional performers in their respective industries.

Learning Objective

Outline the critical success factors and characteristics of an adaptable and innovative organizational culture

Key Points

Being receptive to new business ideas means being receptive to the idea that mistakes are a necessary part of the process.
Everyone in the business needs to keep an open mind and develop the capacity to look at things with fresh eyes.
It is likely that some successful innovations will result from chance discoveries.
Managers must understand that employees too mired in routine work and too criticized for trying new methods will inherently fail to create innovations that may drive organizational growth.

Key Term

innovation: A change in customs; something new and contrary to established customs, manners, or rites.

Many business experts argue that companies that make a substantial commitment to innovation and entrench it deeply throughout their culture will perform exceptionally well. But how can innovation be facilitated within the organizational framework? The following are some examples of characteristics that lead to successful innovation.

Accept Mistakes as Part of the Process

A Minnesota Mining & Manufacturing researcher was looking for ways to improve the adhesives used in 3M tapes that he discovered an adhesive that formed itself into tiny spheres. At first, it seemed as though his work was a failure. However, the new adhesive was later used on Post-it notes—a great innovation and business success for the company. Being receptive to new business ideas means being receptive to mistakes as a necessary, and sometimes even crucial, part of the process.

Keep an Open Mind and Think Laterally

Possibilities for innovation exist everywhere. To realize them, everyone in the business needs to keep an open mind and develop the capacity to look at things with fresh eyes.

The classic example of a company that completely transformed itself as a result of lateral thinking is the Finnish company Nokia, whose original core business was wood pulp and logging. When the collapse of communism opened the Russian market to the west, Nokia’s core business was seriously threatened by cheaper imports from Russia’s seemingly limitless forests. In the deep recession of the early 1990s, Nokia’s management concluded that the only real competitive advantage they retained was a very efficient communications system developed in the 1970s that helped them keep in touch with their remote logging operations. That single realization transformed the company into one of the world’s most successful vendors of communications equipment.

Nokia cell phone

Nokia successfully transformed itself from a logging company to an electronic-communications company through innovation.

Managerial Implications

As is usually the case, these principles are easier said than done. Managers must carefully consider what type of work environment they project for their subordinates. Managers must understand that employees too mired in routine work and who are criticized for trying new methods will inherently fail to create innovations that may drive organizational growth. There is therefore a balancing act between enabling employees to try new things and take risks vs. ensuring that tasks are completed on time with reasonable success.

4.3.3: Types of Innovation

There are three main modes of innovation: entrepreneurial value-based, technology-based, and strategic-reflexive.

Learning Objective

Outline a categorical overview of the potential ways in which innovation can be pursued and identified.

Key Points

The entrepreneurial method of innovation is one in which change is initiated by an individual’s actions and drive to create a business venture of adaptation.
Technology-based functional innovation occurs when the development of new technology drives innovation.
The strategic-reflexive mode describes innovation that springs from individuals’ interactions with their organization’s common values and goals.
Other types of innovation include: incremental, architectural, generational, manufacturing, financial, and cumulative.

Key Term

innovation: A change in customs; something new and contrary to established customs, manners, or rites.

In business and economics, innovation is the catalyst to growth. Fuglsang and Sundbo (2005) suggest that there are three modes of innovation. The first is an entrepreneurial value-based method where change is initiated by an individual’s actions. The second is a technology-based functional mode in which the development of new technology drives innovation. The third is a strategic-reflexive mode in which innovation results from individual’s interactions with their organization’s set of common values and goals. The following graphic provides an example of the innovation process.

Innovation process

Innovation involves continuous improvement throughout phases of a development program. Phases can be iterative and recursive (meaning that they do not proceed linearly from one to the next; rather, earlier phases can be returned to for further improvement as needed). Such phases include market analysis and consumer research, which progress to design and prototyping, after which follow naming and packaging design and ultimately retail and production support.

Entrepreneurial Innovation

The innovation dimension of entrepreneurship refers to the pursuit of creative or novel solutions to challenges confronting a firm. These challenges can include developing new products and services or new administrative techniques and technologies for performing organizational functions (e.g., production, marketing, and sales and distribution).

Technological Innovation

Technological innovation takes place when companies try to gain a competitive advantage either by reducing costs or by introducing a new technology. Technological innovation has been a hot topic in recent years, particularly when coupled with the concept of disruptive innovation. Disruptive innovation is usually a technological advancement that renders previous products/services (or even entire industries) irrelevant. For example, the smartphone disrupted landlines, Netflix made Blockbuster obsolete, and mp3s have marginalized CD players.

Strategic Innovation

The strategic-reflexive mode of innovation is the most effective mode for change and innovation. While technological innovation is clear and easy to define, strategic innovation is inherently intangible and organizational in nature. Strategic innovation pertains to processes: how things are done as opposed to what the end product is. Strategic changes can be disruptive but are more often incremental. Incremental innovation is the idea that small changes, when effected in large volume, can rapidly transform the broader organization.

Walmart’s “Hub and Spoke” distribution model is a classic example of strategic innovation. Walmart succeeded thanks to process efficiency enabled via innovative operational paradigms and distribution strategies. By utilizing a maximum efficiency warehousing and distribution model, refined over and over again incrementally for improvement, Walmart has sustained a competitive advantage for decades.

Other Applications of Innovation

Generational innovation involves changes in subsystems linked together with existing linking mechanisms.
Architectural innovation involves changes in linkages between existing subsystems.
Incremental innovations improve price/performance advancement at a rate consistent with the existing technical trajectory. Radical innovations advance the price/performance frontier by much more than the existing rate of progress.
Manufacturing process innovation refers to all the activities required to invent and implement a new manufacturing process.
Cumulative innovation is any instance of something new being created from more than one source. Remixing music is a direct example of cumulative innovation.
Financial innovation has brought many new financial instruments with pay-offs or values depending on the prices of stocks. Examples include exchange-traded funds (ETFs) and equity swaps.

4.3.4: Speed of Innovation

Companies compete to adapt their products and services to incorporate new innovations first.

Learning Objective

Recognize the challenge inherent in adopting new ideas and the subsequent considerations pertaining to the speed of pursuing them.

Key Points

Speed of innovation can pose a major challenge for organizations responding to external change.
Profits depend on speed of innovation and the ability to attract customers. Big corporations used to dominate, but now industry leaders are often small, highly flexible groups that come up with great ideas, build trustworthy branding for themselves and their products, and market them effectively.
A first-mover in a given innovation captures the obvious advantage of tapping into a new market before the competition. This can also allow the first-mover to capture the new technology for its own brand.
First-movers encounter high fiscal risks in integrating a new product or services into their distribution, and failure often means sunk costs. Late-comers to the game can simply observe the success or failure of other competitors and make a more informed (and less risky) decision.

Key Terms

Cannibalization: The reduction of sales or market share for one of your own products by introducing another.
innovation: A change in customs; something new and contrary to established customs, manners, or rites.

The best ideas should implemented as quickly as possible—not just by the idea generator but also by others who have a different viewpoint. It is imperative that the idea is honed and refined while it is still fresh. For example, an idea for a new product might start out as a crude model built from polystyrene, foam, or cardboard that will evolve quickly into a more professional prototype.

Product Innovation Approach

Robert Reich observes that profits in the old economy came from economies of scale, i.e., long runs of almost identical products. Thus we had factories, assembly lines, and industries. Today, profits come from speed of innovation and the ability to attract and keep customers. Therefore, while the big winners in the old economy were big corporations, today’s big winners are often small, highly flexible groups that devise great ideas, develop trustworthy branding for themselves and their products, and market these effectively. The winning competitors are those who are first at providing lower prices and higher value through intermediaries of trustworthy brands. To keep the lead, however, these companies have to keep innovating lest they fall behind the competition.

The Benefit of Moving First

Speed of innovation poses a major challenge for organizations responding to external change. A high rate of change can be seen in the shortening of product life cycles, increased technological change, increased speed of innovation, and increased speed of diffusion of innovations. These are key challenges for organizations, as the profit generation of new ideas must fit into a slimmer chronological window—thus underlining the great value of being a first-mover.

A first-mover in a given innovation captures the obvious advantage of tapping into a new market before its competitors. This also sometimes allows the first-mover to identify its brand with the new technology (i.e., saying “Google it” as shorthand for online search or calling any and all mp3 players an iPod). These branding hurdles must be tackled by any competitor following in the footsteps of the first-mover.

However, speed is not everything. First-movers encounter serious disadvantages, the most notable of which are freeloaders. First-movers also encounter high fiscal risks in integrating a new product or services into their distribution, and failure often means sunk costs. Latecomers to the game can simply observe the success or failure of other competitors and make more informed (and less risky) decisions about entering the market segment. Similarly, first movers must carefully consider cannibalization—where their new innovative products steal sales from their older products still on store shelves. Speedy innovation and moving first requires great foresight, planning, and managerial skill to execute effectively to minimize risks.

4.3.5: Sustainability Innovation

Sustainability innovation combines sustainability (endurance through renewal, maintenance, and sustenance) with innovation.

Learning Objective

Describe how organizational culture adds value by generating an innovative approach to sustainability issues

Key Points

Sustainopreneurship describes using creative organizing to solve problems related to sustainability to in turn create social and environmental sustainability as a strategic objective and purpose.
Solving sustainability-related problems is the be-all and end-all of sustainability entrepreneurship.
Passively heated houses, solar cells, organic food, fair trade products, hybrid cars, and car sharing are all examples of sustainability innovations.

Key Terms

sustainability: Configuring human activity so that societies are able to meet current needs while preserving biodiversity and natural ecosystems for future generations.
innovation: A change in customs; something new and contrary to established customs, manners, or rites.

Sustainability is the capacity to endure through renewal, maintenance, and sustenance (or nourishment), which is different than durability (the capacity to endure through resistance to change). Innovation is the creation of new value through the use of solutions that meet new, previously unknown, or existing needs in new ways. Innovation should be pursued with sustainability in mind as a critical strategic objective, as the integration of new business ideas with the broader community and environment is central to long-term success.

Sustainability Entrepreneurship

“Sustainopreneurship” describes using creative business organizing to solve problems related to sustainability to create social and environmental sustainability as a strategic objective and purpose, while at the same time respecting the boundaries set in order to maintain the life support systems of the process. In other words, it is “business with a cause,” where the world’s problems are turned into business opportunities for deploying sustainability innovations. Sustainopreneurship is entrepreneurship and innovation for sustainability.

This definition is highlighted by three distinguishing dimensions. The first is oriented towards “why” – a company’s purpose and motive in adopting sustainable entrepreneurship. The second and third reflect two dimensions of “how” the process is carried out.

Entrepreneurship consciously sets out to find or create innovations to solve sustainability-related problems.
Entrepreneurship moves solutions to market through creative organizing.
Entrepreneurship adds sustainability value while respecting life support systems.

Solving sustainability-related problems from the organizational frame is the be-all and end-all of sustainability entrepreneurship. This means that all three dimensions are simultaneously present in the process.

An example to provide context: Interface Global produces modular carpeting. Sustainability is the core operating mission and vision of the broader organization. Through greening their supply chain, minimizing water use, cutting electric costs, reducing fuel costs through better distribution, and a number of other innovative process improvements, Interface Global produces high quality carpets at a lower cost and smaller environmental footprint. The company created a sustainable business strategy through innovative thinking.

4.3.6: Social Innovation

Social innovation refers to new strategies, concepts, ideas, and organizations that meet societal needs of all kinds.

Learning Objective

Define social innovation and the potential positive outcomes of employing it within an organizational culture

Key Points

Social innovation can refer to social processes of innovation, such as open source methods and techniques.
Social innovation can also refer to innovations that have a social purpose, like microcredit or distance learning, and can be related to social entrepreneurship.
Social innovation can take place within the government sector, the for-profit sector, the nonprofit sector (also known as the third sector), or in the spaces between them.

Key Terms

social capital: The value created by interpersonal relationships with expected returns in the marketplace.
innovation: A change in customs; something new and contrary to established customs, manners, or rites.
social: Of or relating to society.

Example

Prominent social innovators include Bangladeshi Muhammad Yunus, the founder of Grameen Bank, which pioneered the concept of microcredit for supporting innovators in multiple developing countries in Asia, Africa, and Latin America.

Social innovation refers to new strategies, concepts, ideas, and organizations that extend and strengthen civil society or meet societal needs of all kinds—from working conditions and education to community development and health.

Organizations, both for for-profit and nonprofit, benefit enormously from incorporating social innovation into their operations. Giving back to to the community and empowering the individuals you work with and sell to (i.e., stakeholders) improves employee morale, grows wealth for potential customers, builds a strong brand, and underlines social responsibility and high ethical standards as central to the organizational character.

Example of a social innovation program

A health camp conducted for villagers as part of the Social Innovation Program at SOIL, in partnership with the Max India Foundation.

The term “social innovation” has overlapping meanings. Sometimes it refers to social processes of innovation like open-source methods and techniques. Other times it refers to innovations that have a social purpose, like microcredit or distance learning. The concept can also be related to social entrepreneurship (entrepreneurship is not necessarily innovative, but it can be a means of innovation). On occasion, it also overlaps with innovation in public policy and governance. Social innovation can take place within the government sector, the for-profit sector, the nonprofit sector (also known as the third sector), or in the spaces between them. Research has focused on the types of platforms needed to facilitate such cross-sector collaborative social innovation.

The Process of Social Innovation

Social innovation is often an effort of mental creativity that involves fluency and flexibility across a wide range of disciplines. The act of social innovation in a sector encompasses diverse disciplines within society. The social innovation theory of “connected difference” emphasizes three key dimensions of social innovation:

First, it usually produces new combinations or hybrids of existing elements, rather than wholly new.
Second, it cuts across organizational or disciplinary boundaries.
Last, it creates compelling new relationships between previously separate individuals and groups. Social innovation is currently gaining visibility within academia.

Examples of Social Innovation

There are many examples of social innovation making a meaningful difference across the globe—from huge organizations like the Bill and Melinda Gates Foundation funding multinational initiatives to small groups of community leaders collecting money to help buy new high school textbooks. Some specific examples include:

The University of Chicago sought to develop social innovations that would address and ameliorate the immense problems caused by poverty in a largely immigrant city around the turn of the 20th century.
Prominent social innovators include Bangladeshi Muhammad Yunus, the founder of Grameen Bank, who pioneered the concept of microcredit for supporting innovators in multiple developing countries in Asia, Africa, and Latin America.
Stephen Goldsmith, former Indianapolis mayor, engaged the private sector in providing many city services.

4.3.7: Commercializing Innovative Products

Commercialization is the process or cycle of introducing a new product or production method into the market.

Learning Objective

Examine the three key aspects of the commercialization process and outline the four key questions that must be answered prior to the commercialization of a new and innovative product

Key Points

The actual launch of a new product is the final stage of new product development. This is when the most money is spent for advertising, sales promotion, and other marketing efforts.
It is important to emphasize that the commercialization strategy and feasibility should have been considered and approved long before the actual execution of commercialization – as the time, efforts and development costs have already largely been incurred.
Organizations must consider who they are selling to and where they are selling when determining the most effective process for commercialization.
The primary target consumer group includes innovators, early adopters, heavy users, and opinion leaders. Their buy-in will ensure adoption by other consumers in the marketplace during the product growth period.

Key Terms

early adopter: A person who begins using a product or service at or around the time it becomes available.
commercialization: The act of positioning a product to make a profit.

Commercialization is often confused with sales, marketing, or business development. In the context of innovation, commercialization is the process of introducing a new product or service to the public market. Innovations are defined as new products or services that improve upon their predecessors, and the process of integrating them into the current market is a critical component of successfully bringing them to market. Great innovations are not always brought to market due to a lack of feasibility or poor planning. Long-term planning is crucial in the commercialization process because this is when the most money will be spent—on advertising, sales promotions, and other marketing efforts after the launch of a new product.

Product innovation approach

The Commercialization Process

The commercialization process has three key aspects:

Carefully select, based upon comprehensive market research, which products can be sustained financially in which markets for long-term success.
Planning for various phases and/or stages in the commercialization process is key. Consider geographic distribution, different demographics, etc.
Finally, identify and involve key stakeholders early, including consumers.

Key Strategic Questions

When bringing a product to market, a number of key strategic questions need to be answered satisfactorily long before substantial costs are incurred for commercialization. These questions are simple to ask but complex to answer, and business analysts and market researchers will spend a considerable amount of time approaching them via research models and careful financial consideration.

When: The company has to time introducing the product perfectly. If there is a risk of cannibalizing the sales of the company’s other products, if the product could benefit from further development, or if the economy is forecasted to improve in the near future, the product’s launch should be delayed. Similarly, many items are seasonal (e.g., fashion) and so should be timed appropriately to maximize revenue.
Where: The company has to decide where to launch its products. This can be in a single location, in one or several larger regions, or in a national or international market. This decision will be strongly influenced by the company’s resources; larger companies can reach broader geographic audiences. It is important to keep in mind where the early adopters will be and where competitive gaps may exist. In the global marketplace, this question is increasingly complex.
To whom: The primary target consumer group will have been identified earlier through research and test marketing. This primary consumer group will include innovators, early adopters, heavy users, and opinion leaders. Their buy-in will ensure adoption by other consumers in the marketplace during the product growth period.
How: The company has to decide on an action plan for introducing the product by implementing these decisions. It has to develop a viable marketing mix and create a respective marketing budget.

While these questions are key considerations in the commercialization process, remember that they should have been answered long before the commercialization stage. After all, if the need is not sufficiently widespread or the market not sufficiently developed, there is little reason to have pursued a given innovation in the first place.

4.3.8: Fostering Innovation

Offering employees challenges, freedom, resources, encouragement, and support can help them to innovate.

Learning Objective

Outline how to encourage creativity, participation and innovation through effective management

Key Points

People perform best when they are driven by inspiration and are encouraged to push their boundaries and think outside the box.
Teamwork enhances people’s strengths and lessens their individual weaknesses.
One of the most powerful tools for promoting employee creativity and innovation is recognition.
Ultimately, in developing a culture of innovation you want employees to feel comfortable experimenting and offering suggestions without fear of criticism or punishment for mistakes.

Key Terms

creativity: The quality or ability to create or invent something.
innovation: A change in customs; something new and contrary to established customs, manners, or rites.

Strategies capable of producing innovation require resources and energy; it is therefore necessary to discuss in your business plan the organizational structures and practices you will put in place to encourage and support innovation. Amabile (1998) points to six general categories of effective management practices that create a learning culture within an organization:

Providing employees with a challenge
Providing freedom to innovate
Providing the resources needed to create new ideas/products
Providing diversity of perspectives and backgrounds within groups
Providing supervisor encouragement
Providing organizational support

Innovation

Cartoon shows the challenge of translating innovation (designers) to economic success.

Create a Culture of Innovation

You will likely find that you need to generate hundreds of ideas to find ten good ones that will create value for your organization. This is part of the creative brainstorming process, and it should be encouraged. It should be the responsibility of every individual in the organization to come up with ideas, not just the founder or key staff. Here are some suggestions to encourage the flow of ideas.

Encourage Creativity

Encouraging creativity helps keep staff happy. If they think something is important and has the potential to create a financial payoff for the company, let them follow their idea. People perform best when they are driven by inspiration and encouraged to push their boundaries and think outside the box. But employees cannot do this when they are being micromanaged. Employees need to feel independent enough to own their innovative thinking and to pursue the ideas they are passionate about. In fact, if management effectively fosters a creative and open environment, innovation will happen naturally.

Encourage Participation

Teamwork enhances people’s strengths and mitigates their individual weaknesses. Effective teamwork also promotes the awareness that it is in everyone’s best interests to keep the business growing and improving. Creating a participation-based environment means creating smart teams, encouraging open dialogue, and minimizing authority. Criticism is productive and should be encouraged, but it must be used constructively.

Provide Recognition and Rewards

One of the most powerful tools for promoting employee creativity and innovation is recognition. People want to be recognized and rewarded for their ideas and initiatives, and it is a practice that can have tremendous payoff for the organization. Sometimes the recognition required may be as simple as mentioning a person’s effort in a newsletter. If a staff member comes up with a really creative idea, mention them in the company newsletter or on the news board even if their idea can’t be implemented immediately. Make it clear that compensation and promotions are tied to innovative thinking.

Enable Employee Innovation

You may have an innovative culture in your organization, but you also need to familiarize staff with some of the hallmarks of continuing innovation. For example, you could educate employees at regular training sessions on topics such as creativity, entrepreneurship, and teamwork. Each session might conclude with the assignment of an exercise to be performed over the next few working weeks that will consolidate lessons learned. Your aim here is to give employees a taste of innovation so they will embrace the process.

Other Motivators

Profit-sharing and bonuses
Days off
Extra vacation time

Encourage employees to take advantage of coffee breaks, lunch breaks, and taxi rides. Often great ideas that can lead to innovation will happen outside the places where we expect them to happen. If it’s hard to get staff together for common informal breaks, consider taking them out for an informal meal where you can encourage creative discussion about work. Also be sure to encourage laughter at meetings because laughter is an effective measure of how comfortable people feel about expressing themselves.

4.4: Technology and Innovation

4.4.1: Technology as a Driver and Enabler of Innovation

Technology is a powerful driver of both the evolution and proliferation of innovation.

Learning Objective

Examine the role of technology as a driver of competitive advantage and innovation in the business framework

Key Points

Innovation is a primary source of competitive advantage for companies in essentially all industries and environments and drives efficiency, productivity, and differentiation to fill a higher variety of needs.
Technology builds upon itself, enabling innovative approaches within the evolution of technology.
Technological hubs such as California’s Silicon Valley provide powerful resources that entrepreneurs and businesses can leverage in pursuing innovation.
Technological advances, particularly in communication and transportation, further innovation.
India, China, and the United States are all strong representations of how embracing technology leads to innovation, which in turn leads to economic growth.

Key Terms

Scalable: Able to change in size or to scale up.
innovation: The introduction of something new; the development of an original idea.
proliferate: To increase in number or spread rapidly.

Innovation is a primary source of competitive advantage for companies in essentially all industries and environments, and drives forward efficiency, higher productivity, and differentiation to fill a wide variety of needs. One particular perspective on economics isolates innovation as a core driving force, alongside knowledge, technology, and entrepreneurship. This theory of innovation economics notes that the neoclassical approach (monetary accumulation driving growth) overlooks the critical aspect of the appropriate knowledge and technological capabilities.

Scaling Technology

Technology in particular is a powerful driving force in innovative capacity, particularly as it pertains to both the evolution of innovations and the way they proliferate. Technology is innately scalable, demonstrating a consistent trend toward new innovations as a result of improving upon current ones. Product life cycles shows how economic returns go through a steep exponential growth phase and an eventual evening out, which motivates businesses to leverage technology to produce new innovations.

Technology Hubs

Technological Innovation Chart

This chart demonstrates the pattern of innovation over time. Note the overlapping trajectories of technologies: one product may dominate the market and grow at a high rate; the next (“emerging”) product may start low while the other product is dominant but in turn grow to dominate the market even more thoroughly than the first, as technology and production are refined and improved.

The proliferation of innovation pertains to two important factors of technology driving innovation: the creation of geographic hubs for technology and empowerment of knowledge exchange through communication and transportation. Places like California’s Silicon Valleya and Baden-Wurttenberg, Germany are strong examples of the value of technological hubs. The close proximity of various resources and collaborators in each hub stimulates a higher degree of innovative capacity.

Communication and cumulative knowledge in these technology hubs allows for these innovations to spread via technology to be implemented across the globe with relative immediacy. This spread of ideas can be built upon quickly and universally, creating the ability for innovation to be further expanded upon by different parties across the globe. Collaboration on a global scale as a result of technological progress has allowed for exponential levels of innovation.

Correlations Between Technology, Innovation, and Growth

Empirical evidence generates a positive correlation between technological innovation and economic performance. Between 1981 and 2004, India and China, developed a National Innovation System designed to invest heavily in R&D with a particular focus on patents and high-tech and service exports. During this timeframe, both countries experienced extremely high levels of GDP growth by linking the science sector with the business sector, importing technology, and creating incentives for innovation.

Additionally, the Council of Foreign Relations asserted that the U.S.’ s large share of the global market in the 1970s was likely a result of its aggressive investment in new technologies. These technological innovations generated are hypothesized to be a central driving force in the steady economic expansion of the U.S., allowing it to maintain it’s place as the world’s largest economy.

4.4.2: The Technology Life Cycle

The technology life cycle describes the costs and profits of a product from technological development to market maturity to decline.

Learning Objective

Categorize the four distinct stages in the technology life cycle and apply the five demographic consumer groups in the context of these stages

Key Points

The technology life cycle seeks to predict the adoption, acceptance, and eventual decline of new technological innovations.
Understanding and effectively estimating technology life cycle allows for a more accurate reading of whether and when research and development costs will be offset by profits.
The technology life cycle has four distinct stages: research and development, ascent, maturity, and decline.
The adoption of these technologies also has a life cycle with five chronological demographics: innovators, early adopters, early majority, late majority, and laggards.
By leveraging these models, businesses and institutions can exercise some foresight in ascertaining return on investment as their technologies mature.

Key Terms

demographic: A characteristic used to identify people within a statistical framework.
competitive advantage: Something that places a company or a person above the competition.
Foresight: The ability to accurately estimate future outcomes.

The technology life cycle (TLC) describes the costs and profits of a product from technological development phase to market maturity to eventual decline. Research and development (R&D) costs must be offset by profits once a product comes to market. Varying product lifespans mean that businesses must understand and accurately project returns on their R&D investments based on potential product longevity in the market.

Due to rapidly increasing rates of innovation, products such as electronics and pharmaceuticals in particular are vulnerable to shorter life cycles (when considered against such benchmarks as steel or paper). Thus TLC is focused primarily on the time and cost of development as it relates to the projected profits. TLC can be described as having four distinct stages:

Technology life cycle chart

This chart illustrates the stages in the technological life cycle.

Research and Development – During this stage, risks are taken to invest in technological innovations. By strategically directing R&D towards the most promising projects, companies and research institutions slowly work their way toward beta versions of new technologies.
Ascent Phase – This phase covers the timeframe from product invention to the point at which out-of-pocket costs are fully recovered. At this junction the goal is to see to the rapid growth and distribution of the invention and leverage the competitive advantage of having the newest and most effective product.
Maturity Stage – As the new innovation becomes accepted by the general population and competitors enter the market, supply begins to outstrip demand. During this stage, returns begin to slow as the concept becomes normalized.
Decline (or Decay) Phase – The final phase is when the utility and potential value to be captured in producing and selling the product begins dipping. This decline eventually reaches the point of a zero-sum game, where margins are no longer procured.

Product development and capitalizing on the new invention covers the business side of these R&D investments in technology. The other important consideration is the differentiation in consumer adoption of new technological innovations. These have also been distributed into phases which effectively summarize the demographic groups presented during each stage of TLC:

Technology adoption life cycle

This adoption chart highlights the way in which consumers embrace new products and services.

Innovators – These are risk-oriented, leading-edge minded individuals who are extremely interested in technological developments (often within a particular industry). Innovators are a fractional segment of the overall consumer population.
Early Adopters – A larger but still relatively small demographic, these individuals are generally risk-oriented and highly adaptable to new technology. Early adopters follow the innovators in embracing new products, and tend to be young and well-educated.
Early Majority – Much larger and more careful than the previous two groups, the early majority are open to new ideas but generally wait to see how they are received before investing.
Late Majority – Slightly conservative and risk-averse, the late majority is a large group of potential customers who need convincing before investing in something new.
Laggards – Extremely frugal, conservative, and often technology-averse, laggards are a small population of usually older and uneducated individuals who avoid risks and only invest in new ideas once they are extremely well-established.

Taking these two models into consideration, a business unit with a new product or service must consider the scale of investment in R&D, the projected life cycle the technology will likely maintain, and the way in which customers will adopt this product. By leveraging these models, businesses and institutions can exercise some foresight in ascertaining the returns on investment as their technologies mature.

4.4.3: Assessing an Organization’s Technological Needs

Assessing the internal technological assets and future needs of an organization prepares management for successful technology integration.

Learning Objective

Apply the four strategies of information gathering and introspection that allow for effective assessment of technology needs in an organization

Key Points

Companies must prioritize their ability to assess their technological needs, particularly as they may relate to achieving optimal efficiency and productivity.
Companies looking to stay ahead of the competition should gather data internally and externally to facilitate forecasting and the crafting of implementation technology strategies.
In addition to noting new technological advances, the assessment process is also heavily internal and necessitates that companies isolate their technological strengths and weaknesses.

Key Terms

productivity: The rate at which products and services are produced relative to a particular workforce.
forecasting: To estimate how a condition will be in the future.
introspection: Self-assessment, or an individual or company looking inward to measure certain strengths and weaknesses.

Remaining competitive and remaining technologically vigilant are virtually synonymous at this point in business development. Companies must prioritize their ability to assess their technological needs, particularly as they may relate to achieving optimal efficiency and productivity. There are various concepts that are typical of this managerial technology assessment strategy:

Technology Strategy – identifying the logic or role of technology within the company.
Technology Forecasting – identifying applicable technologies for the company, potentially through scouting.
Technology Roadmapping – ascertaining the trajectories of technological advancement and applying business or market needs to this assessment.
Technology Portfolios – accumulating all technologies relevant to products or operations to determine which are ideal for internal implementation.

All four of these strategies revolve both around information gathering and introspection into business operations and processes. All four can be improved upon through technological advances. Integrated planning in pursuit of optimization through new technologies keeps efficiency at or above competitive levels. This internal technology assessment also includes noting when and whether it is necessary to construct employee training programs for new technology.

Technology and Market Share

As successive groups of consumers adopt new technology a bell curve emerges – this is referred to as the innovation adoption life cycle (the blue bell curve on the above graphic). The percentages on the x-axis indicate the size of the populations (relative to the entire consumer group for a given good) in each segment. By keeping pace with technological innovation, and offering products early enough to capture the majority of the market, businesses can gain competitive advantage. If a business is too late to enter a newly emerged technological market, it can be quite difficult to attain a high percentage of the market share, as represented on the y-axis (which has often been claimed by other incumbents, as the intersecting yellow line on the graph indicates).

4.4.4: Understanding Current Trends in Technology

Understanding current technologies and trends allows a company to align and synchronize operations to optimize returns on innovation.

Learning Objective

Recognize the importance of keeping pace with current technologies and trends to retain competitive capacity and identify the four specific dimensions of business technology management (BTM)

Key Points

Business technology management (BTM) provides a bridge between previously established tools and standards within a business environment and the newer, more operationally efficient tools and standards technological progress provides.
Aligning technologies with current business initiatives and strategies is the most basic way for a business to remain competitive in the current technological climate.
Companies that can improve on alignment to synchronize the technological landscape internally (often through researching and developing innovations in-house) can achieve foresight and long-term benefits through forecasting future technological necessities.
BTM has four dimensions: process, organization, information, and technology.
Effectively employing these four dimensions of BTM provides companies the potential to project technological trends, and synchronize them with their strategies.

Key Terms

SBUs: Strategic Business Units; separate elements of a company, organized by similarity of processes and objectives.
Alignment: The process of adjusting a mechanism (or business) so that its parts act in concert.
Synchronization: The process of aligning all inputs to optimize output.

Businesses are tasked with the ongoing responsibility of keeping up with evolving technology trends to stay competitive. Trends in technology extend out like the branches of a tree: each new innovation creates the possibility for multiple new innovations. The field of business technology management (BTM) arose to provide businesses with the best approaches for assessing and implementing these varying technological advances into their strategies.

BTM

Alignment

BTM provides a bridge between previously established tools and standards within a business environment and newer, more operationally efficient tools and standards in technology. BTM does this by creating a set of principles and guidelines for companies to follow as they pursue alignment. Alignment, in this respect, can be defined as how an institution’s technology supports and enables technology while avoiding constraints in direct relation to company strategies, objectives, and competition. When companies accomplish this in any given technological environment, they have attained BTM maturity relative to that time frame and industry.

Synchronization

Alignment is only the first step: the next step is synchronization. Like alignment, synchronization enables execution, but it also helps companies develop the capacity to anticipate and adapt future business models and strategies. This is generally accomplished by investing in research and development and staying ahead of the standard technologies by anticipating or even innovating past them. This business technology leadership role is long-term oriented and very effective in maintaining competitive advantages in any given industry, but it is particularly important for industries in the tech sectors.

Cycle of Research and Development

The Cycle of Research and Development moves through theorizing, to hypothesizing, to design, to implementation, to study, and back to theorizing to begin the cycle again.

Companies use four specific dimensions of BTM to achieve this understanding of current technologies and trends:

Process – Companies must execute a set of fluid and repeatable processes that can be consistently scaled up through evaluation.
Organization – Utilizing an organized business structure or corporate framework, often through strategic business units (SBUs), provides substantial value in centralizing processes and assessing needs.
Information – Scouting and assessing the current technological environment through extensive research teams is necessary to make the appropriate decisions (see “Sourcing Technology” and “Assessing Needs in Technology” within this Boundless segment).
Technology – Finally, improving upon these processes within SBUs via leveraging the appropriate data and information will drive strategic acquisition of beneficial technological improvements based upon current trends.

Taken together, these four dimensions applied to alignment and synchronization of new technology can help businesses keep up with or ever stay ahead of current technologies and trends. Companies can benefit from the intrinsic opportunities technological progress provides while offsetting the intrinsic risks of external technological development.

4.4.5: Sourcing Technology

Technology sourcing involves isolating and implementing new innovations within an existing business framework.

Learning Objective

Illustrate the varying cost structures, licensing, and scouting procedures involved with technology sourcing

Key Points

Sourcing new technology involves the scouting and researching of new technological potential and the eventual transfer of these technologies to a company.
Technology scouting is based around identifying new technologies, organizing and channeling data on these technologies, and assessing the ease and value of implementing them.
Companies capitalize on the successful scouting of a new technology by sourcing it from the appropriate party for their own use.
Tech transfer drawbacks primarily involve the cost of licensing patents and training employees to effectively use the new technology.
Some organizations, such as Sourceforge, Wikipedia, and Boundless, provide knowledge and technology for free in an open source strategy.

Key Terms

patent: A legal right to a particular innovation, protecting it from being copied or employed by another without consent or license.
Sourcing: The supply of resources needed by a particular company or individual.
Scouting: The act of seeking or searching.

Technology Sourcing Strategies

Technology sourcing, or the pursuit of implementing new technologies within a businesses strategic framework, involves isolating and applying new technologies to current models. Technology can be developed internally or isolated through technology scouting and then implemented through technology transfer. In deciding which approach is optimal for them, organizations must consider such factors as the advantage of being first to market, research and developments costs and capabilities, and market research and data gathering costs. Therefore the strategies behind sourcing technology can be complex, varying by industry, company size, economic strength, and the availability of easily implemented technology.

Technology Scouting

Technology scouting is essentially forecasting technological developments through information gathering. Technology scouts can either be internal employees or external consultants specifically designated to the task of researching developments in a particular technological field. This can be loosely referred to as a three-step process:

Identify emerging technologies.
Channel and organize new technological data within an organization.
Provide a corporate context to support or refute the acquisition of said technology.

When technology scouting isolates new developments that could potentially provide advantages for an incumbent, strategies to acquire or source this technology become a focal point. Technology transfer, and the commercialization of technological abilities, is an enormous market both in the U.S. and abroad. Though governments, universities, and open source websites (such as Sourceforge, Wikipedia, and Boundless) often provide knowledge and technological know-how free of charge, most often technology is not free.

Technology Sourcing Pros and Cons

In the Information Age knowledge is power, and more than ever companies are trying to protect their knowledge from competitors or freeloaders by using patents and trade secrets. Transfer of technology is therefore expensive, from licensing the patented technology to requesting training in new technological advances for staff. Despite the distinct advantages of staying ahead of the curve relative to technological capabilities, there are some drawbacks to tech transfer. One strong example of the drawbacks in technological transfer and sourcing can be illustrated by the image below.

Stages in technology development

Technology develops through a series of stages: basic technology research, research to prove feasibility, technology development, technology demonstration, system/subsystem development, and system test, launch & operations.

The first five levels of innovation, from basic research to technology demonstration, are often where investment begins pouring in, alongside the attempt to implement in order to stay competitive. As you may note, this is prior to the testing phases and therefore investors at this stage must accept the inherent risk of the new technology presenting significant hurdles to optimizing perceived potential or effective implementation. Early adopters and innovators suffer the risk of employing a new technology that has not been fully debugged, minimizing what should have been strong returns on investment (ROI). Technology scouts should therefore be highly circumspect and meticulous in their research processes, ensuring that new technological innovations will indeed provide what they promise.

4.5: Intrapreneurship

4.5.1: Defining Intrapreneurship

Intrapreneurship means behaving like an entrepreneur while working within a large organization.

Learning Objective

Define intrapreneurship as a means of enabling organizational change and the pursuit of an innovative culture

Key Points

The intrapreneur acts as an “inside entrepreneur” who focuses on innovation and creativity while operating within the goals and environment of an organization.
Intrapreneurs bring their ideas to the firm to generate new products, processes, or services and thereby act as a force for change within the organization. Intrapreneurship adds to the innovation potential of an organization.
In many ways, the benefits of intrepreneurship are difficult to forecast and thus difficult to justify. As a result, good managers must be long-term oriented and open-minded to implement entrepreneurship.

Key Terms

innovation: A change in customs; something new and contrary to established customs, manners, or rites.
entrepreneur: A person who organizes and operates a business venture and assumes much of the associated risk.

Intrapreneurship means behaving like an entrepreneur while working within a large organization. According to social scientist Joseph Schumpeter, introducing new technologies, increasing efficiency and productivity, and generating new products or services are all qualities characteristic of intrepreneurs.

Intrapreneurs and Corporate Management

Intrapreneurship is now known as the practice of a corporate management style that integrates risk-taking and innovation approaches. It also incorporates the reward and motivational techniques that are traditionally thought of as being the sole province of entrepreneurship.

The intrapreneur acts as an “inside entrepreneur” who focuses on innovation and creativity while operating within the goals and environment of an organization. Intrapreneurs bring their ideas to the firm to generate new products, processes, or services and thereby act as a force for change within the organization. Capturing a little of the dynamic nature of entrepreneurial management (trying things until successful, learning from failures, attempting to conserve resources, and so on) adds to the innovation potential of an otherwise static organization without exposing those employees to the risks or accountability normally associated with entrepreneurship.

Theory and Practice

Incorporating entrepreneurial concepts into traditional corporate environments is easy to promote in theory: capturing the innovative attitudes of small start-ups within the larger organizational context (i.e., with more resources) seems intuitive. In reality, entrepreneurship is often much easier to discuss in a classroom than to integrate into an actual organization. There are many reasons for this that generally boil down to simple issues of size and corporate inertia.

Companies are built on structures and hierarchies which in turn create a dependable and repeatable operational process. This process leads to value creation, and efficiency is always a focal point in operational contexts. When innovation and intrepreneurship enters this equation they are often seen as costs without tangible and definite benefits, and as lacking consistency and applicability to the current model. In many ways, the benefits of intrepreneurship are difficult to forecast and thus difficult to justify. As a result, good managers must be long-term oriented and open-minded in order to capture the benefits of instilling an intrepreneurial spirit.

4.5.2: Building Support for Intrapreneurship

Building internal support for intrepreneurship is a prerequisite to creating meaningful change in an organization.

Learning Objective

Justify the role of the intrapreneur, not only as an innovative thinker but also a strategic communicator capable of initiating change organizationally.

Key Points

An intrapreneur is tasked not only with creating a new and innovative concept but also with communicating the concept in a way that builds support for the new initiative.
One useful way to integrate stakeholders and speak the language of upper management is to numerically demonstrate that a new idea is financially and strategically feasible.
Building support by identifying and communicating with key stakeholders and decision-makers is essential to bringing change to an organization.
Intrapreneurs must also be willing to become change agents: people who act as catalysts for incorporating new ideas within the organization. Intrapreneurs, from this perspective, must display strong leadership and communication skills.

Key Term

comprehensive: Broadly or completely covering; including a large proportion of something.

Building support is important when you are bringing change to the organization. Employees bold enough to be intrepreneurs must recognize the challenge they are taking on from the organizational frame. Organizations have great momentum and are, in most cases, inherently resilient to change. This places a great strain on an innovative employee with an interesting idea because s/he is tasked not only with implementing the idea but also with communicating it to key decision-makers to gain approval.

Key Stakeholders

Intrapreneurs need to know who the key stakeholders are and how to capture their attention. For starters, upper management is often where the decision-making power lies. Having access to upper management, and understanding the strategic motivations behind their decisions, plays an integral role in building top-down support organizationally. Customers are also key stakeholders because their needs are the primary determinant of organizational trajectory. Recognizing what customers want and learning how to give it to them more effectively are integral to successful intrapreneurship.

One useful way to integrate stakeholders and speak the language of upper management is to numerically demonstrate that a new idea is financially and strategically feasible. A net present value (NPV) analysis factors in the total time it will take to initiate a new project, along with costs incurred and value generated over a given timeframe. This enables intrapreneurs a tool to communicate, in today’s dollars, how much a given new venture will cost compared with how much it will bring in (i.e., a profit margin).

Being a Change Agent

A change agent

Marissa Mayer was recruited from Google to be the Yahoo CEO so she could set and execute the strategy that might turn the company around.

Change agents know how to get people in an organization involved in solving their own problems. A change agent’s main strength is a comprehensive knowledge of human behavior supported by a number of intervention techniques. Understanding not only how to innovate but also how to operate as a catalyst for change is a useful characteristic for aspiring intrapreneurs. Building support is largely a social and behavioral challenge, and change agents understand how to communicate why a proposed change is important and how it is attainable.

4.6: Managing Change for Organizations

4.6.1: Managers as Leaders of Change

Leaders are in the unique role of not only designing change initiatives but also enacting and communicating them.

Learning Objective

Review the strategies leaders must use to lead change effectively

Key Points

Managing change requires more than simple planning; the significant human element of change resistance needs to be addressed to ensure success.
Leaders must define change strategy and communicate it effectively to shareholders, empower and support employees, and mitigate resistance to the change initiative.
Conner identifies six distinct leadership styles related to change: anti-change, rational, panacea, bolt-on, integrated, and continuous. Each leadership style represents a unique set of perceptions, attitudes, and behaviors regarding how organizational disruption should be addressed.
Conner also posited that the six leadership styles are related to two different types of organizational change: first-order change and second-order change. Different leadership styles are more effective in different situations.

Key Terms

leading: To conduct or direct with authority.
attribute: A characteristic or quality of a thing.

Managing change requires strong leadership and an understanding of how organizational change occurs. Leaders are in the unique role of not only designing change initiatives but enacting and communicating them to subordinates. Managing change requires more than simple planning: the significant human element of change resistance needs to be addressed to ensure success.

Leadership Strategies for Change

Successful change management is more likely if leaders:

Create a definable strategy – Define measurable stakeholder aims, create a business case for their achievement (and keep it continuously updated), monitor assumptions, risks, dependencies, costs, return on investment, and cultural issues affecting the progress of the associated work.
Communicate effectively – Explain to stakeholders why the change is being undertaken, what the benefits of successful implementation will be, and what how the change is being rolled out.
Empower employees – Devise an effective education, training, or skills upgrading scheme for the organization.
Counter resistance – Identify employee issues and align them to the overall strategic direction of the organization. Adapt the change initiative when necessary to mitigate discontentment.
Support employees – Provide personal counseling (if required) to alleviate any change-related fears.
Track progress – Monitor the implementation and fine-tuning as required.

These six components of change are the responsibility of management to create and implement.

The reengineering process

Change management is often termed a “re-engineering process.” This flowchart shows the reciprocal relationships involved in each step: the mission defines and is accomplished via work processes, which execute and are guided by decisions, which consider and are supported by information, which employs and are processed via technology.

Six Leadership Styles for Change

Conner (1998) identified six distinct leadership styles related to change: anti-change, rational, panacea, bolt-on, integrated, and continuous. Each leadership style “represents a unique set of perceptions, attitudes, and behaviors regarding how organizational disruption should be addressed.” Stopper (1999) characterizes each of Conner’s leadership styles in this way:

The anti-change leader – A leader embracing this style seeks to avoid change as much as possible. The message is, “Stay the course. Keep adjustments small. No need to change in any major way.”
The rational leader – This leader focuses on how to constrain and control change with logical planning and clearly defined steps.
The panacea leader – The panacea leader believes that the way to respond to pressure for change is to communicate and motivate. These leaders understand the resilience to change they are likely to encounter as well as the inevitability of change as organizations evolve. They tend to focus on fostering enthusiasm for change.
The bolt-on leader – This leader strives to regain control of a changing situation by attaching (bolting on) change management techniques to ad-hoc projects that are created in response to pressure for change. This manager is more concerned about helping others change than creating a strategy for the actual change itself.
The integrated leader – The integrated leader searches for ways to use the structure and discipline of what Harding and Rouse (2007) called “human due diligence” (the leadership practice of understanding the culture of an organization and the roles, capabilities, and attitudes of its people) as individual change projects are created and implemented. The concept is simply to combine, or integrate, human and cultural concerns with the strategy itself.
The continuous leader – The continuous leader works to create an agile and quick-responding organization that can quickly anticipate threats and seize opportunities as change initiatives are designed and implemented. Continuous leaders believe that to disruption is continuous, and adaptability a necessary organizational competency.

Conner says that these six leadership styles are related to two different types of organizational change: first-order change and second-order change. First-order change is incremental, piecemeal change. According to Conner, second-order change is “nonlinear in nature and reflects movement that is fundamentally different from anything seen before within the existing framework.”

Conner identifies the first four leadership styles as appropriate for managing first-order change. When an organization is engaging in discontinuous, transformational change, however, integrated and continuous leadership styles are more appropriate .

4.6.2: Types of Organizational Change

There are three main categories of change: business process re-engineering, technological change, and incremental change.

Learning Objective

Differentiate between business process re-engineering, technological change, and incremental change as the three main categories of organizational development

Key Points

Business process re-engineering focuses on the analysis and design of workflows and processes within an organization.
Technological change refers to the process of invention, innovation, and diffusion of technology or processes.
Incremental change means introducing many small, gradual changes to a project instead of a few large, rapid changes.

Key Terms

incremental: Occurring over a series of gradual increments, or small steps.
devise: To use one’s intellect to plan or design something.
incremental model: A method of product development where the model is designed, implemented, and tested incrementally (a little more is added each time) until the product is finished.

Change management is an approach to shifting or transitioning individuals, teams, and organizations from their current state to a desired future state. It is an organizational process aimed at helping stakeholders accept and embrace change in their business environment. In some project management contexts, change management refers to a project management process wherein changes to a project are formally introduced and approved.

Kotter defines change management as the utilization of basic structures and tools to control any organizational change effort. Change management’s goal is to maximize organizational benefit, minimize impacts on workers, and avoid distractions. There are different types of change an can organization face.

Business Process Re-Engineering

Business process re-engineering (BPR) is a business management strategy first pioneered in the early 1990s that focuses on the analysis and design of workflows and processes within an organization. BPR aims to help organizations fundamentally rethink how they do their work in order to dramatically improve customer service, cut operational costs, and become world-class competitors. In the mid-1990s, as many as 60% of the Fortune 500 companies claimed to have either initiated re-engineering efforts or begun planning for it.

BPR helps companies radically restructure their organizations by focusing on their business processes from the ground up. A business process is a set of logically related tasks performed to achieve a defined business outcome. Re-engineering emphasizes a holistic focus on business objectives and how processes relate to them, encouraging full-scale recreation of processes rather than iterative optimization of sub-processes.

Business process re-engineering is also known as business process redesign, business transformation, and business process change management.

Incremental Change

Incremental change is a method of introducing many small, gradual (and often unplanned) changes to a project instead of a few large, rapid (and extensively planned) changes. Wikipedia illustrates the concept by building an encyclopedia bit by bit. Another good example of incremental change is a manufacturing company making hundreds of small components that go into a larger product, like a car. Improving the manufacturing process of each of these integral components one at a time to cut costs and improve process efficiency overall is incremental change.

Technological Change

Technological change (TC) describes the overall process of invention, innovation, and diffusion of technology or processes. The term is synonymous with technological development, technological achievement, and technological progress. In essence, TC is the invention of a technology (or a process), the continuous process of improving a technology (which often makes it cheaper), and its diffusion throughout industry or society. In short, technological change is based on both better and more technology integrated into the framework of existing operational processes.

4.6.3: Inside and Outside Forces for Organizational Change

Inside forces include strategic and human resource changes, while outside forces include macroeconomic and technological change.

Learning Objective

Identify the internal and external pressures for change, which drive organizations to adapt and evolve

Key Points

Change management is an approach to shifting individuals, teams, and organizations to a desired future state. Examples of organizational change can include strategic, operational, and technological change that can come from inside or outside the organization.
Outside forces for change include macroeconomics, technological evolution, globalization, new legislation, and competitive dynamics.
Inside forces for change include intrapreneurship, new management and restructuring.
The first step in effective change management is being prepared, in a timely and knowledgeable fashion, for internal and external potentialities that may force organizational adaptation.

Key Term

macroeconomic: Relating to the entire economy, including the growth rate, money and credit, exchange rates, the total amount of goods and services produced, etc.

Change management is an approach to shifting or transitioning individuals, teams, and organizations from their existing state to a desired future state. Examples of organizational change can include strategic, operational, and technological changes coming from inside or outside the organization. Understanding key internal and external change catalysts is critical to successful change management for organizational leaders.

Outside Forces

While there are seemingly endless external considerations that can motivate an organization to change, a few common considerations should be constantly monitored. These include economic factors, competitive dynamics, new technology, globalization, and legislative changes:

Economics – The 2008 economic collapse is a strong example of why adaptability is important. As consumers tightened their belts, organizations had to either do the same and lower supply to match lowered demand, or come up with new goods to entice them. Migrating from one volume to another can financially challenging, and change strategies such as creating new affordable product lines or more efficient operational paradigms are key to changing for success.
Competition – Changes in the competitive landscape, such as new incumbents, mergers and acquisitions, new product offerings, and bankruptcies, can substantially impact a company’s strategy and operations. For example, if a competitor releases a new product that threatens to steal market share, an organization must be ready to change and adapt to retain their customer base.
Technology – Technological changes are a constant threat, and embracing new technologies ahead of the competition requires adaptability. When media went digital, adaptable companies found ways to evolve their operations to stay competitive. Many companies that could not evolve quickly failed.
Globalization – Capturing new global markets requires product, cultural, and communicative adaptability. Catering to new demographics and identifying opportunities and threats as they appear in the global market is integral to adapting for optimal value.
Legislation – New laws and legislation can dramatically change operations. Companies in industries that impact the environment must constantly strive to adapt to cleaner and more socially responsible operating methodologies. Failing to keep pace can result in substantial fines and financial detriments, not to mention negative branding.

Inside Forces

There are many inside forces to keep in mind as well, ranging from employee changes to cultural reform to operational challenges.Understanding where this change is coming from is the first step to timely and appropriate change management.

Management Change – New CEOs or other executive players can significantly impact strategy and corporate culture. Understanding the risks associated with hiring (or promoting for) new upper management is key to making a good decision on best fit.
Organizational Restructuring – Organizations may be required to significantly alter their existing structure to adapt to the development of new strategic business units, new product lines, or global expansion. Changing structure means disrupting hierarchies and communications, which must then be reintegrated. Employees must be trained on the change and the implications it will have for their everyday operations.
Intrapreneurship – New ideas come from inside the organization as well as outside the organization, and capitalizing on a great new idea will likely require some internal reconsideration. Integrating a new idea may require reallocation of resources, new hires and talent management, and new branding.

4.6.4: Common Targets of Organizational Change

Change management can be implemented to change an organization’s mission, strategy, structure, technology, or culture.

Learning Objective

Recognize and discuss the various components of an organization which may undergo change through the evolution and adaptation of organizational strategy and/or objectives

Key Points

Organizational change management should begin with a systematic diagnosis of the current situation in order to determine the organization’s need for and ability to change.
Prior to a cultural change initiative, a needs assessment should examine the current organizational culture and operations. The goal is a careful and objective consideration of what is working and what is not.
Areas of change include mission, strategy, operations, technology, culture, branding, employees, and work flows.
Change management should also make use of performance metrics, such as financial results, operational efficiency, leadership commitment, communication effectiveness, and the perceived need for change.

Key Terms

organization: A group of people or other legal entities with an explicit purpose and written rules.
change management: The controlled implementation of required changes to some system; includes version control and planned fallback.

When an organization requires changes to address counterproductive aspects of organizational culture, the process can be daunting. Cultural change is usually necessary to reduce employee turnover, influence employee behavior, make improvements to the company, refocus the company objectives, rescale the organization, provide better customer service, or achieve specific company goals and results. Cultural change can be impacted by a number of elements, including the external environment and industry competitors, changes in industry standards, technology changes, the size and nature of the workforce, and the organization’s history and management.

Assessing Change Needs

Prior to launching a cultural change initiative, a company should carry out a needs assessment to examine the existing organizational culture and operations. Careful and objective consideration of what is working and what is not, as well as what is parallel with the broader organizational objectives and what is not, are critical to success here.

Areas that need to change can be identified through interviews, focus groups, observation, and other methods of internal and external research. A company must clearly identify the existing culture and then design a change process to implement the desired culture.

Common Areas of Change

Common areas of organizational change include:

Mission
Strategy
Operational changes, including structure and hierarchies
Technology
Culture
Employees and/or management
Work flows (particularly relevant in manufacturing)
Branding

Organizational change management should begin with a systematic diagnosis of the existing situation in order to determine the organization’s need for and ability to change. The objectives, content, and process of change should be specified as part of the change management plan.

Change management processes can benefit from creative marketing to facilitate communication between change audiences and a deep social understanding of leadership styles and group dynamics. To track transformation projects, organizational change management should align group expectations, communicate, integrate teams, and manage and train people. Change management should also make use of performance metrics including financial results, operational efficiency, leadership commitment, communication effectiveness, and the perceived need for change in order to design appropriate strategies that make the change in organizational culture as smooth and as efficient as possible.

4.6.5: Organizational Development

Organizational development is a deliberately planned effort to increase an organization’s relevance and viability.

Learning Objective

Explain the role of organizational development in leadership and organizational change

Key Points

Organizational development (OD) is an ongoing, systematic process of implementing effective organizational change.
The purpose of organizational development is to address the evolving needs of successful organizations.
Organizational development is often facilitated with the assistance of a “catalyst” or “change agent” such as an effective or influential leader.
An important role of a leader is to analyze and assess the effectiveness of this developmental process and motivate the organization to achieve developmental targets.

Key Terms

viability: The ability to live or to succeed.
catalyst: Someone or something that encourages progress or change.

Organization development (OD) is a deliberately planned effort to increase an organization’s relevance and viability. Vasudevan has referred to OD as a systemic learning and development strategy intended to change the basics of beliefs, attitudes, and relevance of an organization’s values and structure. This process helps the organization to better absorb disruptive technologies, market opportunities, and ensuing challenges and chaos. Essentially, organizational development is the framework for a change process that is designed to produce desirable and positive results for all stakeholders and the environment.

The Nature of Organizational Development

Organizational development is a lifelong, built-in mechanism to improve an organization internally. This is often done with the assistance of a “change agent” or “catalyst” who enables appropriate theories and techniques from applied behavioral sciences, anthropology, sociology, and phenomenology. The terms “change agent” and “catalyst” suggest a leader who is engaged in transformation leadership as opposed to management (management being a more incremental or efficiency-based change methodology).

A manager providing advice to a team

Organizational development is often facilitated with the assistance of a “catalyst” or “change agent” such as an influential manager.

Although behavioral science provided the basic foundation for the study and practice of OD, new and emerging fields of study have made their presence felt. Experts in systems thinking and organizational learning have also emerged as OD catalysts. These emergent perspectives view the organization as the holistic interplay of a number of systems, all of which impact the processes and outputs of the entire organization.

Applications of Organizational Development

The purpose of OD is to address the evolving needs of successful organizations. It represents a concerted collaboration of internal and external experts in the field to discover the processes an organization can use to become more effective.

Organizational development aims to improve an organization’s capacity to handle its internal and external functioning and relationships. This includes improving interpersonal and group processes; communication; the organization’s ability to cope with problems; decision-making processes; leadership styles; conflict and trust; and cooperation among organizational members.

Weisbord

Weisbord presents a six-box model for understanding—and thereby changing and improving—an organization:

Purposes: Are employees clear about the organization’s mission, purpose, and goals? Do they support the organization’s purpose?
Structure: How is the organization’s work divided? Is there an adequate fit between the purpose and the internal structure?
Relationships: What are the relationships between individuals, units, or departments that perform different tasks? What are the relationships between the people and the requirements of their jobs?
Rewards: For what actions does the organization formally reward or punish its members?
Leadership: Does leadership watch for “blips” among the other areas and maintain balance among them?
Helpful mechanisms: Do planning, control, budgeting, and other information systems help organization members accomplish their goal?

Lewin

Lewin’s description of the process of change involves three steps:

Unfreezing: Faced with a dilemma or issue, the individual or group becomes aware of a need to change.
Changing: The situation is diagnosed and new models of behavior are explored and tested.
Refreezing: Application of new behavior is evaluated, and if it proves to be reinforcing, the behavior is adopted.

Effectiveness of Organizational Development

The efficacy of organizational development is predicated on the adaptability of the organization and the overall successful integration of new ideas and strategies within an existing framework. Resistance to change is a fundamental organizational problem as all organizations have a degree of general inertia. This is further complicated by the difficulty in quantitatively measuring changes in areas that are generally intangible (i.e., culture).

To remedy this, organizations pursuing OD must set clear and measurable objectives prior to committing to a change initiative. An important role of the leader is to analyze and assess the effectiveness of this developmental process and motivate the organization to achieve developmental targets.

4.7: Managing Change for Employees

4.7.1: Phases of Organizational Change: Lewin

Kurt Lewin’s phases of change (unfreezing, change, and freezing) describe how people react and adapt to change.

Learning Objective

Explain Kurt Lewin’s Phases of Changes model, a three-stage process allowing for organizational change

Key Points

Kurt Lewin described change as a three-stage process that includes unfreezing, change, and freezing. Lewin emphasizes that change is not a series of individual processes but rather one that flows from one process to the next.
The first stage (unfreezing) involves overcoming inertia and dismantling the existing “mind set.” This involves getting over the initial defense mechanisms that people exhibit to avoid making a change.
In the second stage, the actual change occurs. This is typically a period of confusion and transition in which people are unsure about the change and what may happen in the future.
In the third stage (freezing), the new mindset of the change begins to become the standard, and people’s comfort levels return to normal.
Although some managers still use Lewin’s model, its most important contribution is the idea that change should be thought of as a process instead of as individual stages.

Key Terms

Defense Mechanisms: Psychological strategies (such as denial, repression, or rationalization) that are brought into play to avoid or adjust to uncomfortable situations.
Organizational Psychology: The scientific study of employees, workplaces, and organizations.

Change is a fundamental component of any organization looking to continuously improve and evolve. A few researchers and academics have determined how to best model and present methods of change for managing employees. Kurt Lewin was one of these academics and was known as one of the leaders of organizational psychology.

Kurt Lewin

Lewin was an influential behavioral and organizational psychologist who proposed the Phases of Change Model.

The Three Phases of Change

This early model developed by Lewin describes change as a three-stage process of unfreezing, change, and freezing. In this Phases of Change Model, Lewin emphasizes that change is not a series of individual processes but rather one that flows from one process to the next.

The first stage (unfreezing) involves overcoming inertia and dismantling the existing mind set. It involves getting over the initial defense mechanisms that people exhibit to avoid making a change. People eventually realize that change is necessary and urgent, and this realization allows them to move on to the next stage.

In the second stage, the actual change occurs. This is typically a period of confusion and transition in which people are unsure about the change and what may happen in the future. People are aware that the old ways are being challenged, but they do not yet have a clear picture as to what these ways will be replaced with. During this stage, an organization’s leaders need to focus on clearly communicating to employees the reasons for change and the steps needed to achieve it.

Lewin labeled the third and final stage freezing, though it may be useful to think of this stage as “refreezing.” During this stage, the new mindset of the change begins to become the standard, and people’s comfort levels return to normal. Many people criticize this component of Lewin’s model, arguing that there is never time for people to comfortably adapt to change in the fast-paced world of today.

Although some managers still use Lewin’s model, its most important contribution is the idea that change should be thought of as a process instead of individual stages. This is important for understanding how employees may react to change in the workplace and why some may adapt more quickly to change than others.

4.7.2: Strategies for Successful Organizational Change

To implement a successful change, managers should focus on communication, training, monitoring, and counseling for the workforce.

Learning Objective

Evaluate differing strategies for enabling changes within an organizational culture while mitigating resistance and issues

Key Points

Organizational change often elicits concern and discomfort among employees. Change is a human effort as much as it is a strategic one.
During an organizational change, it is essential for managers to communicate the reasons for the change as well as the process needed to make the change. This should include clear objectives and strategic implications.
Effective education and training is essential for employees to understand and adapt to a change in the workforce.
One of the most important steps in managing a successful change is to monitor how the change is playing out in the organization. Quantitative tools can be used to measure and assess effectiveness.

Key Terms

proactive change: The shifting or transitioning of individuals, teams, and organizations from a current state to a desired future state before being incited by an event.
reactive change: The shifting or transitioning of individuals, teams, and organizations from a current state to a desired future state in response to an event.

Understanding Change Management

When change is implemented in an organization, there is often resistance. This resistance often stems from people’s fear—of change in the work itself, of change in the process of completing work, or of the possibility that the change may result in the loss of their job. As a result, managers and organizational leaders should have a strategic approach to enabling change that ensures it is maximally effective in the organization.

Change management is the study of how to integrate changes without damaging the organizational culture or efficiency. At its core, change management is about knowing strategically what to change and how to manage the human element of this process. Change management is broken into 4 elements:

Recognize the changes in the broader business environment
Develop the necessary adjustments for the company’s needs
Train employees on the appropriate changes
Win the support of employees

Note that a central themes of change management revolve around training and supporting employees. This is a critical managerial responsibility for enabling change.

Key Enablers to Change

Transparency and Effective Communication

During an organizational change, it is essential for managers to communicate the reasons for the change as well as the process needed to make the change. For example, if management wants to implement a procedure that will help to improve the production of the workforce, but they require a lot of initial labor to get the new procedure up and running, they should communicate why the change in procedure is necessary. If staff understands why the change is taking place, they will be more likely to agree with the implementation and see the benefit.

Effective Education and Training

Education and training is essential for employees to understand and adapt to a change in the workforce. When a new process is put into place, employees will likely be unfamiliar with the process and how it will fit into their daily workflow. Training in this situation is necessary to help employees become familiar with the change and better adapt to it.

Personal Counseling

When a major change happens in the workplace, some employees may feel very uncomfortable about the change—especially the employees most affected by the change. For these employees it may be useful to have a program, most likely through human resources, that will help them adapt to the change.

Monitoring the Implementation

One of the most important steps in managing a successful change is to monitor how the change is playing out in the organization. This can be done by looking at historical data and examining how employees are performing with the change compared to how they were performing in the past. Additionally, management will want to monitor how the change is affecting the overall production process. If the change is not improving the process after the initial implementation, management may want to fine-tune the process to make sure that the change is successful.

Generic strategy

Maintaining focus on learning and growth (e.g., employee training), internal business processes (e.g., establishing partnerships), customer-oriented processes (e.g., inspiring loyalty), and financial concerns (e.g., maximizing shareholder value) is integral to successful change management.

4.7.3: Steps to Smooth Organizational Change: Kotter

Kotter’s model details a process where managers may initiate, direct, implement, and foster organizational change via employee engagement.

Learning Objective

Employ John Paul Kotter’s eight step model to outline steps toward smooth and efficient change in an organization

Key Points

John Paul Kotter is a former professor at the Harvard Business School and is regarded as an authority on leadership and change.
The eight stages of Kotter’s change model include: increase urgency, build the guiding team, get the vision right, communicate for buy-in, empower action, create short-term wins, don’t let up, and make change stick.
By following Kotter’s eight steps, managers can implement change and make it an integral part of the organization’s culture. This is accomplished by making sure that change sticks with the culture and becomes an expected part of the continued development of the organization.

Key Terms

vision: A clear, distinctive, and specific vision of the future, usually connected with a leader’s strategic advances for the organization.
Buy-in: Support; agreement; approval; blessing (in a secular sense). A sense of believability in the potential outcomes achieved through group process.

John Paul Kotter

John Paul Kotter (born 1947) is a former professor at the Harvard Business School, an acclaimed author, and Chief Innovation Officer at Kotter International. He is regarded as an authority on leadership and change. Kotter created the Eights Steps to Change Model that is currently the most widely-used framework for managing organizational change. In his observations, Kotter concluded that the organizations that are the most successful in implementing change go through the following series of eight steps.

The Eight Steps

1. Increase urgency: Managers must inspire people to move, make objectives real and relevant, and further their desire to make change happen. Getting momentum for change is key.

2. Build the guiding team: The company must get the right people in place as leaders with the right emotional commitment and understanding and the right mix of skills and levels.

3. Get the vision right: Managers must get the team to establish a simple vision and strategy and then focus on the emotional and creative aspects necessary to drive service and efficiency.

4. Communicate for buy-in: Involving as many people as possible, managers must communicate the essentials and appeal and respond to people’s needs. Additionally, they must remove clutter and streamline technological communications, making it efficient rather than overwhelming for employees.

5. Empower action: This step removes obstacles wherever possible, enables constructive feedback, and garners support from leaders—complete with motivational rewards that recognize progress and achievements.

6. Create short-term wins: Managers must set aims that are easy to achieve in manageable chunks. They must also manage the number of initiatives taking place at once and finish current stages before starting new ones.

Short-term wins

A step in Kotter’s model of change is to celebrate short-term wins while working toward an overall goal of change.

7. Don’t let up: Managers must foster and encourage determination, persistence, and ongoing progress reporting. This can be done by highlighting achieved and future milestones.

8. Make change stick: This step reinforces the value of successful change via recruitment, promotion, and new change leaders. The company should change a fundamental part of the culture during this step so people do not consider it as foreign.

By following these eight steps to successful change, managers can work to mitigate the risks associated with changes that employees do not like. In order to reduce potential organizational obstacles, managers have to make sure that all of their employees are on board with the change and are willing to assist with it.

Chapter 3: Organizational Theory

3.1: Why Study Organizational Theory

3.1.1: What is Organizational Behavior?

Organizational behavior is the field of study that investigates how organizational structures affect behavior within organizations.

Learning Objective

Define organizational behavior and the way in which computer modeling and systematic frameworks enable further study

Key Points

Organizational behavior studies organizations from multiple viewpoints, including behavior within the organization and in relation to other organizations.
Micro organizational behavior refers to individual and group dynamics in an organizational setting.
Macro organizational theory studies whole organizations and industries, including how they adapt, and the strategies, structures, and contingencies that guide them.
Concepts such as leadership, decision making, team building, motivation, and job satisfaction are all facets of organizational behavior and responsibilities of management.
Organizational behavior also deals heavily in culture. Company or corporate culture is difficult to define but is extremely relevant to how organizations behave.

Key Term

behavior: The way a living creature acts.

Definition of Organizational Behavior

Organizational behavior studies the impact individuals, groups, and structures have on human behavior within organizations. It is an interdisciplinary field that includes sociology, psychology, communication, and management. Organizational behavior complements organizational theory, which focuses on organizational and intra-organizational topics, and complements human-resource studies, which is more focused on everyday business practices.

Behavior model

Different Types of Organizational Behavior

Organizational studies encompass the study of organizations from multiple perspectives, methods, and levels of analysis. “Micro” organizational behavior refers to individual and group dynamics in organizations. “Macro” strategic management and organizational theory studies whole organizations and industries, especially how they adapt, and the strategies, structures, and contingencies that guide them. Some scholars also include the categories of “meso”-scale structures, involving power, culture, and the networks of individuals in organizations, and “field”-level analysis, which studies how entire populations of organizations interact.

Many factors come into play whenever people interact in organizations. Modern organizational studies attempt to understand and model these factors. Organizational studies seek to control, predict, and explain. Organizational behavior can play a major role in organizational development, enhancing overall organizational performance, as well as also enhancing individual and group performance, satisfaction, and commitment.

Topics in Organizational Behavior

Organizational behavior is particularly relevant in the field of management due to the fact that it encompasses many of the issues managers face on a daily basis. Concepts such as leadership, decision making, team building, motivation, and job satisfaction are all facets of organizational behavior and responsibilities of management. Understanding not only how to delegate tasks and organize resources but also how to analyze behavior and motivate productivity is critical for success in management.

Organizational behavior also deals heavily in culture. Company or corporate culture is difficult to define but is extremely relevant to how organizations behave. A Wall Street stock-trading company, for example, will have a dramatically different work culture than an academic department at a university. Understanding and defining these work cultures and the behavioral implications they embed organizationally is also a central topic in organizational behavior.

3.1.2: Why Study Organizational Theory?

Organizational theory studies organizations to identify how they solve problems and how they maximize efficiency and productivity.

Learning Objective

Define the value and applications of organizational theory from a business perspective.

Key Points

Correctly applying organizational theory can have several benefits for both the organization and society at large. Developments in organizations help boost economic potential in a society and help generate the tools necessary to fuel its capitalistic system.
Once an organization sees a window for expansion, it begins to grow and thus alters the economic equilibrium by catapulting itself forward. This expansion induces changes not only in the organization’s infrastructure but also in competing organizations and the economy as a whole.
One example of how development in organizational theory improves efficiency is in factory production. Henry Ford created the assembly line, a system of organization that enabled efficiency and drove both Ford and the U.S. economy forward.

Key Terms

efficiency: The extent to which a resource, such as electricity, is used for the intended purpose; the ratio of useful work to energy expended.
normative: Of, pertaining to, or using a standard.

Definition of Organizational Theory

Organizational theory studies organizations to identify the patterns and structures they use to solve problems, maximize efficiency and productivity, and meet the expectations of stakeholders. Organizational theory then uses these patterns to formulate normative theories of how organizations function best. Therefore, organizational theory can be used in order to learn the best ways to run an organization or identify organizations that are managed in such a way that they are likely to be successful.

Organizational theory and stakeholders

Organizational theory examines patterns in meeting stakeholders’ needs. This concept map illustrates common internal and external stakeholders: internal stakeholders include employees and managers, while external stakeholders include customers, suppliers, creditors, and society at large. A company must take all of these stakeholders’ interests into account.

Organizational Theory

Correctly applying organizational theory can have several benefits for both the organization and society at large. As many organizations strive to integrate themselves into capitalistic societies, they initiate a ripple effect between other competing firms and already-existing economic pressures. Once an organization sees a window for expansion, it begins to grow by producing more and thus alters the economic equilibrium by catapulting itself forward into a new environment of production. This expansion induces changes not only in the organization’s infrastructure but also in competing organizations and the economy as a whole. Other firms observe these innovative developments and recreate them efficiently. Developments in organizations help boost economic potential in a society and help generate the tools necessary to fuel its capitalistic system.

One example of how development in an organization affects the modern era is through factory production. The concept of factory production amplified production as a whole and allowed for the organized division of labor to start. It centralized facets of the workforce and began to define the rules of production and trade, which also led to specialization. Henry Ford implemented an innovative design by modifying factory production and creating the assembly line, which is still used in many factories in contemporary society. These developments make it easier for a company to produce and thus incentivize firms to aggregate and utilize more efficient methods for running their companies.

Organizational theory can also help identify malicious forms of corporate practice and use them to highlight future precautionary measures. The nuclear accident at Three Mile Island helped determine ways to ensure the prevention of similar incidents. In that case, developments in organizational theory led to stronger government regulations and stronger production-related safety mandates.

3.2: Classical Perspectives

3.2.1: Classical Versus Behavioral Perspectives

The classical perspective focuses on direct inputs to efficiency, while the behavioral perspective examines indirect inputs too.

Learning Objective

Compare and contrast the central concepts that define a classical organizational-theory approach and a behavioral perspective.

Key Points

The classical perspective of management emerged from the Industrial Revolution and focuses on the efficiency, productivity, and output of employees as well as of the organization as a whole. It generally does not focus on human or behavioral attributes or variation among employees.
The classical perspective of management is often criticized for ignoring human desires and needs in the workplace and does not take into consideration human error in work performance. The classical perspective has strong influences on modern operations and process improvement.
The behavioral perspective of management (sometimes called the “human relations perspective”) takes a much different approach from the classical perspective: it is generally more concerned with employee well-being and encourages management approaches that consider the employee as a motivated worker who genuinely wants to work.

Key Terms

micromanage: To rely on extreme supervision and close monitoring of employee work.
psychosocial: Related to one’s psychological development in, and interaction with, a social environment.

The Classical Perspective of Management

The classical perspective of management, which emerged from the Industrial Revolution, focuses on improving the efficiency, productivity, and output of employees, as well as the business as a whole. However, it generally does not focus on human or behavioral attributes or variances among employees, such as how job satisfaction improves employee efficiency.

Frederick Winslow Taylor

Scientific management theory, which was first introduced by Frederick Winslow Taylor, focused on production efficiency and productivity of employees. By managing production efficiency as a science, Taylor thought that worker productivity could be completely controlled. He used the scientific method of measurement to create guidelines for the training and management of employees. This quantitative, efficiency-based approach is representative of the classical perspective.

Max Weber

Classical Perspective of Management

The classical perspective of management focused on improving worker productivity.

Another leader in the classical perspective of management, Max Weber, created the bureaucracy theory of management, which focuses on the theme of rationalization, rules, and expertise for an organization as a whole. Weber’s theory also focuses on efficiency and clear roles in an organization, meaning that management in organizations should run as effectively as possible with as little bureaucracy as possible. One example of Weber’s management theory is the modern “flat” organization, which promotes as few managerial levels as possible between management and employees.

Henri Fayol

Henri Fayol, another leader in classical management theory, also focused on the efficiency of workers, but he looked at it from a managerial perspective—i.e., he focused on improving management efficiency rather than on improving each individual employee’s efficiency. Fayol created six functions of management, which are now taught as the following four essential functions of management: planning, organizing, leading, and controlling.

The classical perspective of management theory pulls largely from these three theorists (Taylor, Weber, and Fayol) and focuses on the efficiency of employees and on improving an organization’s productivity through quantitative (i.e., measurable, data-driven) methods. The classical perspective is often criticized for ignoring human desires and needs in the workplace and typically does not take into consideration human error in work performance. The classical perspective has strong influences on modern operations and process improvement, which uses quantitative metrics to determine how effectively a process is running.

The Behavioral Perspective of Management

The behavioral perspective of management (sometimes called the “human relations perspective”) takes a much different approach from the classical perspective. It began in the 1920s with theorists such as Elton Mayo, Abraham Maslow, and Mary Parker Follett.

The Hawthorne Studies

The Hawthorne studies were an important start to the behavioral perspective of management. These were a series of research studies conducted with the workers at the Hawthorne plant of the Western Electric Company. The Hawthorne studies found that workers were more strongly motivated by psychosocial factors than by economic or financial incentives.

Abraham Maslow

Around this same time, Abraham Maslow created his hierarchy-of-needs theory, which showed that workers were motivated through a series of lower-level to higher-level needs. This theory has been applied in the workplace to better understand “soft” factors of employee motivation, such as goal setting and team involvement, in order to better manage employees.

Douglas McGregor

Additional theories in the behavioral perspective include Douglas McGregor’s Theory X and Theory Y, which have to do with the perceptions managers have about their employees and how employees react to those perceptions. In Theory X, managers assume employees are inherently lazy and, therefore, micromanage. In Theory Y, managers are more laissez-faire and allow employees more freedom in their work. McGregor’s theory of management is an example of how behavior-management theory looks more into the “human” factors of management and encourages managers to understand how psychological characteristics can improve or hinder employee performance.

Generally, the behavioral perspective is much more concerned with employee well-being and encourages management approaches that consider the employee as a motivated worker who wants to work and wants to produce quality work. This theory therefore encourages a management approach that is less focused on micromanaging and is more focused on building relationships with employees in order to help them achieve their workplace goals and work as effectively and efficiently as possible.

3.2.2: Scientific Management: Taylor and the Gilbreths

Scientific management focuses on improving efficiency and output through scientific studies of workers’ processes.

Learning Objective

Differentiate between Taylorism and the Gilbreths’ perspective on the one hand and motion studies on scientific management on the other

Key Points

Scientific management, or Taylorism, is a management theory that analyzes work flows to improve economic efficiency, especially labor productivity. This management theory, developed by Frederick Winslow Taylor, was dominant in manufacturing industries in the 1880s and 1890s.
Important components of scientific management include analysis, synthesis, logic, rationality, empiricism, work ethic, efficiency, elimination of waste, and standardized best practices.
Taylor and the Gilbreths introduced methods of measuring worker productivity, including time studies and motion studies, which are still used today in operations and management.

Key Terms

Scientific Management: An early 20th-century theory that analyzed workflows in order to improve efficiency.
Time studies: Created by Frederick Winslow Taylor, these break down each job into component parts and time each part to determine the most efficient method of working.
Taylorism: Scientific management; an early 20th-century theory of management that analyzed workflows in order to improve efficiency.
Motion Study: Created by Frank and Lillian Gilbreth, these analyzed work motions by filming workers and emphasized areas for efficiency improvement by reducing motion.

Taylorism

Scientific management, or Taylorism, is a management theory that analyzes work flows to improve economic efficiency, especially labor productivity. This management theory, developed by Frederick Winslow Taylor, was popular in the 1880s and 1890s in manufacturing industries.

While the terms “scientific management” and “Taylorism” are often treated as synonymous, an alternative view considers Taylorism to be the first form of scientific management. Taylorism is sometimes called the “classical perspective,” meaning that it is still observed for its influence but no longer practiced exclusively. Scientific management was best known from 1910 to 1920, but in the 1920s, competing management theories and methods emerged, rendering scientific management largely obsolete by the 1930s. However, many of the themes of scientific management are still seen in industrial engineering and management today.

Frederick Winslow Taylor

Frederick Winslow Taylor is considered the creator of scientific management.

Important components of scientific management include analysis, synthesis, logic, rationality, empiricism, work ethic, efficiency, elimination of waste, and standardized best practices. All of these components focus on the efficiency of the worker and not on any specific behavioral qualities or variations among workers.

Today, an example of scientific management would be determining the amount of time it takes workers to complete a specific task and determining ways to decrease this amount of time by eliminating any potential waste in the workers’ process. A significant part of Taylorism was time studies. Taylor was concerned with reducing process time and worked with factory managers on scientific time studies. At its most basic level, time studies involve breaking down each job into component parts, timing each element, and rearranging the parts into the most efficient method of working. By counting and calculating, Taylor sought to transform management into a set of calculated and written techniques.

Frank and Lillian Gilbreth

While Taylor was conducting his time studies, Frank and Lillian Gilbreth were completing their own work in motion studies to further scientific management. The Gilbreths made use of scientific insights to develop a study method based on the analysis of work motions, consisting in part of filming the details of a worker’s activities while recording the time it took to complete those activities. The films helped to create a visual record of how work was completed, and emphasized areas for improvement. Secondly, the films also served the purpose of training workers about the best way to perform their work.

This method allowed the Gilbreths to build on the best elements of the work flows and create a standardized best practice. Time and motion studies are used together to achieve rational and reasonable results and find the best practice for implementing new work methods. While Taylor’s work is often associated with that of the Gilbreths, there is often a clear philosophical divide between the two scientific-management theories. Taylor was focused on reducing process time, while the Gilbreths tried to make the overall process more efficient by reducing the motions involved. They saw their approach as more concerned with workers’ welfare than Taylorism, in which workers were less relevant than profit. This difference led to a personal rift between Taylor and the Gilbreths, which, after Taylor’s death, turned into a feud between the Gilbreths and Taylor’s followers.

Even though scientific management was considered background in the 1930s, it continues to make significant contributions to management theory today. With the advancement of statistical methods used in scientific management, quality assurance and quality control began in the 1920s and 1930s. During the 1940s and 1950s, scientific management evolved into operations management, operations research, and management cybernetics. In the 1980s, total quality management became widely popular, and in the 1990s “re-engineering” became increasingly popular. One could validly argue that Taylorism sent the groundwork for these large and influential fields we practice today.

3.2.3: Bureaucratic Organizations: Weber

Weber’s bureaucracy focused on creating rules and regulations to simplify complex procedures in societies and workplaces.

Learning Objective

Define bureaucratic organization, as theorized by the German sociologist Max Weber

Key Points

Max Weber was a member of the classical school of management, and his writing contributed to the field’s scientific school of thought. He wrote about the importance of bureaucracy in society.
Weberian bureaucracy is characterized by hierarchical organization, action taken on the basis of (and recorded in) written rules, and bureaucratic officials requiring expert training. Career advancement depends on technical qualifications judged by an organization, not individuals.
Weber’s ideas on bureaucracy stemmed from society during the Industrial Revolution. As Weber understood it, society was being driven by the passage of rational ideas into culture, which, in turn, transformed society into an increasingly bureaucratic entity.

Key Terms

bureaucratic control: Setting standards, measuring actual performance, and taking corrective action through administrative or hierarchical techniques such as creating policies.
iron cage: Weber’s theory that a bureaucratic society would result in a situation in which it would be impossible to avoid bureaucracy and thus society would become increasingly more rational.
bureaucracy: A complex means of managing life in social institutions that includes rules and regulations, patterns, and procedures that are designed to simplify the functioning of complex organizations.

Max Weber was a German sociologist, political economist, and administrative scholar who contributed to the study of bureaucracy and administrative literature during the late 1800s and early 1900s. Weber was a member of the classical school of management, and his writing contributed to the field’s scientific school of thought. Weber’s ideas on bureaucracy stemmed from society during the Industrial Revolution. As Weber understood it, particularly during the Industrial Revolution of the late nineteenth century, society was being driven by the passage of rational ideas into culture, which, in turn, transformed society into an increasingly bureaucratic entity.

Bureaucracy Defined

Bureaucracy is a complex means of managing life in social institutions that includes rules and regulations, patterns, and procedures that are designed to simplify the functioning of complex organizations. An example of bureaucracy would be the forms used to pay income taxes. Specific information and procedures are required to fill them out. Included in those forms, however, are countless rules and laws that dictate what can and cannot be included. Bureaucracy simplifies the process of paying taxes by putting the process into a formulaic structure, but simultaneously complicates the process by adding rules and regulations.

IRS tax form

An IRS tax form is an example of a complex form.

Bureaucracy in the Workplace

Weber’s theories on bureaucracy included topics such as specialization of the work force, the merit system, standardized principles, and structure and hierarchy in the workplace. In his writings, Weber focused on the idea of a bureaucracy, which differs from a traditional managerial organization because workers are judged by impersonal, rule-based activity and promotion is based on merit and performance rather than on immeasurable qualities. Weberian bureaucracy is also characterized by hierarchical organization, delineated lines of authority in a fixed area of activity, action taken on the basis of (and recorded in) written rules, and bureaucratic officials requiring expert training. In a bureaucracy, career advancement depends on technical qualifications judged by an organization, not individuals. Weber’s studies of bureaucracy contributed to classical management theory by suggesting that clear guidelines and authority need to be set in order encourage an effective workplace. Weber did not see any alternative to bureaucracy and predicted that this would lead to an “iron cage,” or a situation in which people would not be able to avoid bureaucracy, and society would thus become increasingly more rational. Weber viewed this as a bleak outcome that would affect individuals’ happiness as they would be forced to function in a highly rational society with rigid rules and norms without the possibility to change it. Of course, due to the advent of the behavior-management movement in the 1920s, this bleak situation did not come to pass.

3.2.4: Administrative Management: Fayol’s Principles

Fayol’s approach differed from scientific management in that it focused on efficiency through management training and behavioral characteristics.

Learning Objective

Outline Fayol’s effect on administrative management through the recognition of his 14 management principles

Key Points

Fayol took a top-down approach to management by focusing on managerial practices to increase efficiency in organizations. His writing provided guidance to managers on how to accomplish their managerial duties and on the practices in which they should engage.
The major difference between Fayol and Taylor is Fayol’s concern with the “human” and behavioral characterisitcs of employees and his focus on training management instead of on individual worker efficiency.
Fayol stressed the importance and the practice of forecasting and planning in order to train management and improve workplace productivity.
Fayol is also famous for putting forward 14 principles of management and the five elements that constitute managerial responsibilities.

Key Terms

Fayolism: An approach that focused on managerial practices that could minimize misunderstandings and increase efficiency in organizations.
top-down: Of or relating to a perspective that progresses from a single, large basic unit to multiple, smaller subunits.

Henri Fayol

Fayol was a classical management theorist, widely regarded as the father of modern operational-management theory. His ideas are a fundamental part of modern management concepts.

Comparisons with Taylorism

Fayol is often compared to Frederick Winslow Taylor, who developed scientific management. However, Fayol differed from Taylor in his focus and developed his ideas independently. Taylor was concerned with task time and improving worker efficiency, while Fayol was concerned with management and the human and behavioral factors in management.

Another major difference between Taylor and Fayol’s theories is that Taylor viewed management improvements as happening from the bottom up, or starting with the most elemental units of activity and making individual workers more efficient. In contrast, Fayol emphasized a more top-down perspective that was focused on educating management on improving processes first and then moving to workers. Fayol believed that by focusing on managerial practices organizations could minimize misunderstandings and increase efficiency.

His writings guided managers on how to accomplish their managerial duties and on the practices in which they should engage. In his book “General and Industrial Management” Fayol outlined his theory of general management, which he believed could be applied to the administration of myriad industries. As a result of his concern for workers, Fayol was considered one of the early fathers of the human relations movement.

Henri Fayol

Henri Fayol pioneered definitions of control for management science.

Fayol’s 14 Principles of Management

Fayol developed 14 principles of management in order to help managers conduct their affairs more effectively. Today, these principles are still used but are often interpreted differently. The fourteen principles are as follows:

1. division of work

2. delegation of authority

3. discipline

4. chain of commands

5. congenial workplace

6. interrelation between individual interests and common organizational goals

7. compensation package

8. centralization

9. scalar chains

10. order

11. equity

12. job guarantee

13. initiatives

14. team spirit

Fayol’s Five Elements of Management

Fayol is also famous for his five elements of management, which outline the key responsibilities of good managers:

Planning: Managers should draft strategies and objectives to determine the stages of the plan and the technology necessary to implement it.
Organizing: Managers must organize and provide the resources necessary to execute said plan, including raw materials, tools, capital, and human resources.
Command (delegation): Managers must utilize authority and a thorough understanding of long-term goals to delegate tasks and make decisions for the betterment of the organization.
Coordination: High-level managers must work to integrate all activities to facilitate organizational success. Communication is key to success in this component.
Monitoring: Managers must compare the activities of the personnel to the plan of action; this is the evaluation component of management.

3.2.5: Flaws in the Classical Perspectives

The classical approach to management is often criticized for viewing a worker as a mere tool to improve efficiency.

Learning Objective

Assess the comprehensive arguments underlining the flaws in utilizing classical organizational theory perspectives, primarily Taylorism and the scientific method

Key Points

Under Taylorism, the work effort of workers increased in intensity, but eventually workers became dissatisfied with the work environment and became angry, decreasing overall work ethic and productivity.
Taylorism’s negative effects on worker morale only added fuel to the fire of existing labor-management conflict and inevitably contributed to the strengthening of labor unions.
The criticisms of classical management theory opened doors for theorists such as George Elton Mayo and Abraham Maslow, who emphasized the human and behavioral aspects of management.
The scientific management approach is also lacking when applied to larger, more operationally complex organizations. Managerial efficacy and the empowerment of employees are more important to overall productivity when tasks are not simple and homogeneous.

Key Term

Taylorism: Scientific management; a theory of management of the early 20th century that analyzed workflows in order to improve efficiency.

The Downside of Efficiency

The classical view of management tends to focus on the efficiency and productivity of workers rather than on workers’ human needs. Generally the classical view is associated with Taylorism and scientific management, which are largely criticized for viewing the worker as more of a gear in the machine than an individual. Under Taylorism the work effort of workers increased in intensity, but eventually workers became dissatisfied with the work environment and became angry, which affected their overall work ethic. This dissatisfaction undoes the value captured via increased efficiency.

Taylorism’s negative effects on worker morale only added fuel to the fire of existing labor-management conflict, which frequently raged out of control between the mid-19th and mid-20th centuries (when Taylorism was most influential), and thus it inevitably contributed to the strengthening of labor unions. That outcome neutralized most or all of the benefit of any productivity gains that Taylorism had achieved. The net benefit to owners and management ended up being small or negative. It would take new efforts, borrowing some ideas from Taylorism but mixing them with others, to produce more successful formulas.

Factory workers

Taylorism and classical management styles negatively affected the morale of workers, which created a negative relationship between workers and managers.

Scientific management also led to other pressures tending toward worker unhappiness. Offshoring and automation are two such pressures that have led to the erosion of employment. Both were made possible by the deskilling of jobs, which arose because of the knowledge transfer that scientific management achieved, whereby knowledge was transferred to cheaper workers, as well as from workers into tools.

The Human Factor

To summarize, the underlying weakness of the classical view of management is the omission of the fact that employees are people first and resources second. This criticism opened doors for theorists such as George Elton Mayo and Abraham Maslow, who emphasized the human and behavioral aspects of management. After all, what value is wealth if the individual loses the sense of self-worth and happiness required to enjoy it? The behavioral approach to management took an entirely different approach and focused on managing morale, leadership, and other behavioral factors to encourage productivity rather than solely managing the time and efficiency of workers.

Corporate Growth

Another disadvantage of the classical perspective arises from the growing size and complexity of the modern organization. Using metrics to examine specific employee behavior may be feasible in a smaller organization pursuing homoegeneous tasks, but it becomes more difficult when trying to accomplish this at an organization that has hundreds of employees pursuing various complex functions. In this situation, it may be more beneficial to use tactics that are less focused on the individual employee and more on improving overall productivity. This will involve less micromanaging and more trusting employees to do the right thing while at the workplace. The onus of enabling efficiency, therefore, shifts from workers to managers.

3.3: Behavioral Perspectives

3.3.1: The Behavioral-Science Approach

Behavioral science uses research and the scientific method to determine and understand behavior in the workplace.

Learning Objective

Define the behavioral approaches which maximize potential within a company or organization

Key Points

Behavioral science draws from a number of different fields and theories, primarily those of psychology, social neuroscience, and cognitive science.
One application of the behavioral-science approach can be seen in a field called organizational development. Organizational development is an ongoing, systematic process of implementing effective organizational change.
Behavioral sciences include relational sciences, which deal with relationships, interaction, communication networks, associations, and relational strategies.
Combined, the behavioral science approach is broadly about understanding individual and group behavioral dynamics to initiate meaningful organizational development.

Key Term

organizational development: An ongoing, systematic process of implementing effective organizational change using theories from behavioral sciences.

Behavioral science draws from a number of different fields and theories, primarily those of psychology, social neuroscience, and cognitive science. Behavioral science uses research and the scientific method to determine and understand behavior in the workplace. Many of the theories in the behavioral perspective are included in the behavioral-science approach to management. For example, the Hawthorne studies used the scientific method and are considered to be a part of the behavioral-science approach.

Behavioral science within the business management environment is a specific application of this field, and employs a number of specific types of behavioral observations. This includes concepts such as information processing, relationships and motivation, and organizational development.

Information Processing

Information processing involves determining how people process stimuli in their environment. This field deals with the processing of stimuli from the social environment by cognitive entities in order to engage in decision making, social judgment, and social perception. The field is particularly concerned with information processing as it relates to individual functioning and the survival of an organism in a social environment.

Relationships

Behavioral sciences also include relational sciences that deal with relationships, interaction, communication networks, associations, and relational strategies or dynamics between organisms or cognitive entities in a social system. The emphasis on using quantitative data and qualitative research methods to determine how people process information and understand social relationships is important to helping managers better understand the proven methods for increasing employee motivation and employee productivity. The behavioral-science approach and the myriad of fields it encompasses is the most common study of management science today.

Organizational Development

The primary application of the behavioral-science approach can be seen in the field of organizational development. Organizational development is an ongoing, systematic process of implementing effective organizational change. Organizational development is considered both a field of applied behavioral science that focuses on understanding and managing organizational change as well as a field of scientific study and inquiry. It uses components of behavioral sciences and studies in the fields of sociology, psychology, and theories of motivation, learning, and personality to implement effective organizational change and aid in the development of employees.

Organization triangle

This diagram illustrates the idea that structure, process, and the people involved all play a role in an organization’s culture.

Combined, the behavioral-science approach is broadly about understanding individual and group behavioral dynamics to initiate meaningful organizational development. The study of human behavior in the context of organizational change is an integral part of empowering organizations to grow, adapt, and learn to capture competitive advantage.

3.3.2: Behaviorism: Follett, Munsterberg, and Mayo

Behaviorism initiated a focus on the psychological and human factors influencing workers.

Learning Objective

Compare and contrast the three most famous pioneers and founders of the behavioral perspective in organizational theory

Key Points

Mary Parker Follett, Hugo Munsterberg, and Elton Mayo are all considered pioneers and founders of the behaviorism movement in management theory. They wrote about the importance of considering behavioral aspects of workers in addition to the efficiency of workers.
Mary Parker Follett (September 3, 1868 – December 18, 1933) was an American social worker, management consultant, and pioneer in the fields of organizational theory and organizational behavior.
Hugo Munsterberg was one of the pioneers of applied psychology, extending his research and theories to industrial/organizational (I/O), legal, medical, clinical, educational, and business settings.
Elton Mayo is known as the founder of the human relations movement. His research includes the Hawthorne studies and his book The Human Problems of an Industrialized Civilization.

Key Term

Industrial Psychology: A field focusing on topics such as hiring workers with personalities and mental abilities best suited to certain types of vocations.

Mary Parker Follett, Hugo Munsterberg, and Elton Mayo are all considered pioneers and founders of the industrial/organizational psychology and behaviorism movements in management theory. These three individuals wrote about the importance of considering behavioral aspects of workers in addition to the efficiency of workers. This was, in many ways, a continuation of the scientific method, with the critical difference of incorporating the human factors involved in effective management.

Follett

Mary Parker Follett (September 3, 1868 – December 18, 1933) was an American social worker, management consultant, and pioneer in the fields of organizational theory and organizational behavior. She criticized the overmanagement of employees, a process now known as micromanaging. Follett was known for the concept of reciprocal relationships and the idea that authority is inferior to integrative collaboration. Managers should enable, not dictate.

She also distinguished herself in the field of management by being sought out by President Theodore Roosevelt as his personal consultant on managing not-for-profit, non-governmental, and voluntary organizations. In her capacity as a management theorist, Mary Parker Follett pioneered the understanding of lateral processes within hierarchical organizations. Her contributions aided the beginning of the behaviorism movement of management by presenting the worker as more than just a machine.

Mary Parker Follett

Mary Parker Follett defined management as “the art of getting things done through people.”

Munsterberg

Hugo Munsterberg (June 1, 1863 – December 19, 1916) was a German-American psychologist. He was one of the pioneers of applied psychology, extending his research and theories to industrial/organizational (I/O), legal, medical, clinical, educational, and business settings. Munsterberg’s writings are considered the genesis of the field of industrial psychology.

Industrial psychology, according to Munsterberg, focuses on topics such as hiring workers with personalities and mental abilities best suited to certain types of vocations, as well as on ways to increase motivation, performance, and retention. Munsterberg suggests that psychology could be used in many different industrial applications, including management, vocational decisions, advertising, job performance, and employee motivation. Many of Munsterberg’s ideas, especially the idea of matching an individual’s personality with the correct job set and skills, are common in the use of industrial/organizational psychology today.

Hugo Munsterberg

Munsterberg is considered the father of industrial/organizational psychology.

Mayo

George Elton Mayo (December 26, 1880 – September 7, 1949) was an Australian psychologist, sociologist, and organization theorist. Mayo is known as the founder of the human relations movement. His research includes the Hawthorne studies and his book The Human Problems of an Industrialized Civilization (1933).

The research he conducted in the Hawthorne studies of the 1930s showed the importance of groups in affecting the behavior of individuals at work. Mayo’s employees Roethlisberger and Dickson conducted the practical experiments. This enabled him to make certain deductions about how managers should behave. He concluded that people’s work performance is dependent on both social issues and job content. He suggested a tension between workers’ “logic of sentiment” and managers’ “logic of cost and efficiency” that could lead to conflict within organizations. Mayo’s studies contributed to the behaviorism movement in management as managers became more aware of the “soft” skills that are important to successful management.

Follett, Munsterberg, and Mayo each introduced important components and ideas into the behaviorism perspective of management. They all believed that successful management comes from understanding how to best treat and motivate employees in order to help them succeed in their jobs and become as efficient as possible.

3.3.3: The Human Side: Hawthorne

The Hawthorne studies found that workers were more responsive to group involvement and managerial attention than to financial incentives.

Learning Objective

Evaluate Mayo and Roethlisberger’s Hawthorne study relative to the behavioral perspective in organizational theories

Key Points

The Hawthorne studies, which were conducted by Elton Mayo and Fritz Roethlisberger in the 1920s with the workers at the Hawthorne plant of the Western Electric Company, were part of an emphasis on socio-psychological aspects of human behavior in organizations.
Hawthorne researchers hypothesized that choosing one’s own coworkers, working as a group, being treated as special (as evidenced by working in a separate room), and having a sympathetic supervisor were reasons for increases in worker productivity.
The Hawthorne studies found that monetary incentives and good working conditions are generally less important in improving employee productivity than meeting employees’ need and desire to belong to a group and be included in decision making and work.

Key Term

Hawthorne studies: A series of investigations conducted in the 1920s emphasizing the socio-psychological aspects of human behavior in organizations.

The Hawthorne studies were conducted with the workers at the Hawthorne plant of the Western Electric Company by Elton Mayo and Fritz Roethlisberger in the 1920s. The Hawthorne studies were part of a refocus on managerial strategy incorporating the socio-psychological aspects of human behavior in organizations.

Western Electric Company, the location of the Hawthorne studies

This is where the studies where conducted—a factory outside of Chicago.

The studies suggested that employees have social and psychological needs—along with economic and financial needs—which must be met in order to be motivated to complete their assigned tasks. The human relations movement is concerned with morale, leadership, and factors that aid in the cooperation of workers.

This theory of management was a byproduct of the issues that arose from the classical, scientific perspectives on management (i.e., Taylorism). The simplest explanation of the hypothesis being investigated is quite intuitive. Employees (i.e. human resources) are not merely motivated by financial gain, and productivity is not simply a byproduct of incentives and optimized working spaces. People are motivated by inclusion, constructive feedback, interest, autonomy, and a wide variety of other ‘soft’ factors (i.e. factors aside from money and other tangible resources).

Results of the Hawthorne Studies

The studies originally looked into whether workers were more responsive and worked more efficiently under certain environmental conditions, such as improved lighting. The results were surprising, as Mayo and Roethlisberger found that workers were more responsive to social factors—such as the people they worked with on a team and the amount of interest their manager had in their work—than the factors (lighting, etc.) the researchers had gone in to inspect.

The Hawthorne studies helped conclude that workers were highly responsive to additional attention from their managers and the feeling that their managers actually cared about, and were interested in, their work. The studies also concluded that although financial motives are important, social factors are equally important in defining the worker productivity.

There were a number of other experiments conducted in the Hawthorne studies, including one in which two women were chosen as test subjects and were then asked to choose four other workers to join the test group. Together, the women worked assembling telephone relays in a separate room over the course of five years (1927–1932), and their output was measured.

The measuring began in secret. It started two weeks before moving the women to an experiment room and continued throughout the study. In the experiment room, they had a supervisor who discussed changes with them and, at times, used their suggestions. The researchers then spent five years measuring how different variables impacted both the group’s and the individuals’ productivity. Some of the variables included giving two five-minute breaks (after a discussion with the group on the best length of time), and then changing to two 10-minute breaks (not the preference of the group).

Intangible Motivators

Changing a variable usually increased productivity, even if the variable was just a change back to the original condition. Researchers concluded that the employees worked harder because they thought they were being monitored individually. Researchers hypothesized that choosing one’s own coworkers, working as a group, being treated as special (as evidenced by working in a separate room), and having a sympathetic supervisor were the real reasons for the productivity increase.

The Hawthorne studies showed that people’s work performance is dependent on social issues and job satisfaction, and that monetary incentives and good working conditions are generally less important in improving employee productivity than meeting individuals’ need and desire to belong to a group and be included in decision making and work.

3.3.4: Managerial Assumption: McGregor

McGregor introduced Theories X and Y, which summarize and compare the classical management and behavioral management perspectives.

Learning Objective

Explain Douglas McGregor’s Theory X and Theory Y approach, merging classical and behavioral organizational theories

Key Points

Douglas McGregor was a management professor at the MIT Sloan School of Management. He wrote a book in 1960 called The Human Side of Management, which suggested motivating employees through authoritative direction and employee self-control, respectively called Theory X and Theory Y.
Theory X, based more on classical management theory, assumes that workers need a high amount of supervision because people are inherently lazy. It assumes that managers need to motivate through coercion and punishment.
Theory Y assumes that employees are ambitious, self-motivated, exercise self-control, and generally enjoy mental and physical work duties. Theory Y is in line with behavioral management theories.
Theories X and Y relate to Maslow’s hierarchy of needs in that they see human behavior and motivation as the main priority in maximizing output in the workplace.

Key Terms

Theory Y: Postulates that employees are capable of being ambitious and self-motivated under suitable conditions; contrasted with Theory X.
Theory X: Suggests that employees are inherently lazy and irresponsible and will tend to avoid work unless closely supervised and given incentives; contrasted with Theory Y.

Douglas McGregor was a management professor at the MIT Sloan School of Management. He wrote a book in 1960 called The Human Side of Management, which suggested motivating employees through authoritative direction and employee self-control. McGregor’s book was voted the fourth most influential management book of the 20th century in a poll of the Fellows of the Academy of Management.

McGregor’s main theory is comprised of Theory X and Theory Y. Theory X, based more on classical management theory, assumes that workers need a high amount of supervision because people are inherently lazy. Theory Y assumes that employees are ambitious, self-motivated, exercise self-control, and generally enjoy mental and physical work duties. Theory Y is in line with behavioral management theories. Often, managers’ actions toward their employees are affected by the theory to which they subscribe.

Theory X

In Theory X, managers tend to micro-manage and closely supervise employees. Complex hierarchical structures are needed in order to offer a narrow span of control at every level of the organization. Employees show little ambition without an incentive program and avoid responsibility whenever possible. Managers in Theory X rely more heavily on punishment, fear, and coercion as motivational techniques and less on reward. Managers and employees in this theory are generally mistrusted and they do not have rewarding relationships. Usually these managers believe that the sole purpose of the employee’s interest in the job is money.

Theory Y

Theory Y managers are generally the opposite. They believe that given the proper conditions, employees will learn to seek out and accept responsibility and to exercise self-direction in accomplishing objectives, that most people will want to do well at work, and that the satisfaction of doing a good job will be a strong motivation. Many people interpret Theory Y as a positive set of beliefs about workers.

McGregor thinks that Theory Y managers are more likely than Theory X managers to develop the climate of trust with employees that is required for human-resource development. This type of human-resource development is much more similar to the behavioral management theories of Maslow’s self-actualization and the Hawthorne studies than any of the classical theories of management.

Theory X or Theory Y?

Theories X and Y relate to Maslow’s hierarchy of needs in that they see human behavior and motivation as the main priority in maximizing output in the workplace. Both McGregor and Maslow would say that in order to help employees achieve maximum efficiency and happiness with their work, a Theory Y manager would need to promote morality, creativity, problem solving, and a lack of prejudice. McGregor was a lifetime proponent of Theory Y.

Modern organizations in developed countries generally side with McGregor, in that they believe Theory Y is superior in getting positive results from employees (and subsequently job satisfaction for employees). However, both theories are still prominent in the workplace, where many managers treat their employees as if they are lazy and likely to perform poorly without stringent rules and supervision. In management, just as everywhere else, it is difficult to effect social change in the face of human nature, even when the benefits are established.

3.3.5: Productivity: Argyris

Argyris’s theory of single- and double-loop learning has been applied to management theory to suggest the best ways for employees to learn.

Learning Objective

Identify Chris Argyris’s key contributions to organizational theory through single-loop and double-loop learning

Key Points

Argyris studied how humans design and decide on their actions under difficult or stressful situations. He believed that human actions are controlled by environmental variables, which determine the key differences between single-loop learning and double-loop learning.
In single-loop learning, individuals, groups, or organizations modify their actions according to the difference between expected and obtained outcomes.
In double-loop learning, individuals, groups, or organizations question the values, assumptions, and policies that led to the actions in the first place.
Argyris’s theory of single- and double-loop learning has been applied to management theory in order to suggest the best way for employees to learn and think about new goals and strategies for an organization.

Key Terms

single-loop learning: A theory that says individuals, groups, or organizations modify their actions according to the difference between expected and obtained outcomes.
learning organization: A company that facilitates the learning of its members and continuously transforms itself.
double-loop learning: A theory in which an organization or individual questions the values, assumptions, and policies that led to a given situation.

Chris Argyris is an American business theorist, a professor emeritus at Harvard Business School, and a thought leader at Monitor Group. He is best known for his work on learning theories in the area of learning organizations.

Argyris conducted a series of research studies in action science, which studies how humans design and decide on their actions under difficult or stressful situations. Argyris believed that human actions are controlled by environmental variables, which determine the key differences between single-loop and double-loop learning.

Single-Loop Learning

In single-loop learning, entities (such as individuals, groups, or organizations) modify their actions according to the difference between expected and obtained outcomes. This essentially means that learning is through experience and direct reflection on outcomes, where the ends are justifying the means and dictating the fulcrum of the discussion and learning outcomes.

In many ways, this is a more reactionary approach. Individuals are tasked with identifying successes and failures, pursuing formulas for the former and minimizing the latter. While this type of learning, and this broader type of behavior, is extremely common in the real world, it is not the ideal method to learn and adapt from a broader organizational level. It tends to be simple and short-term, which is not always conducive to sustainability.

Double-Loop Learning

In double-loop learning, the entities question the values, assumptions, and policies that led to the actions in the first place; if they are able to view and modify those values, then second-order or double-loop learning has taken place. This is a more integrative, process-oriented, and collaborative approach. It is also much more complex, difficult, and sensitive, as the core values and strategies in place must be analyzed, questioned, and defended (or discarded).

The simple truth is that people fear change, actively avoid conflict, and generally preserve the status quo. Double-loop learning requires the bravery to challenge what is established organizationally, identify broader systemic issues, and fix problems at the source.

Single- and double-loop learning

Argyris wrote about the theories of single- and double-loop learning, which determine how people make decisions in difficult situations.

For example, a company that is facing a problem with its management strategy may decide to focus on how to improve or implement the strategy in different ways. In this situation, the company uses single-loop learning because management is focused on making changes without reconsidering the fundamental standard or strategy itself. However, if the company were to entirely reconsider the problematic strategy and start from scratch, this would constitute double-loop learning. Double-loop learning may lead to a change in the original strategy or goals that the company had in the first place.

Argyris’s theory of single- and double-loop learning has been applied to management theory in order to suggest the best way for employees to learn and think about new goals and strategies for an organization.

3.4: Modern Thinking

3.4.1: Quantitative and Analytical Management Tools

Quantitative tools are used by management to determine where a company is doing well or struggling compared to the industry and competitors.

Learning Objective

Give examples of quantitative and analytical management tools that assist organizations in better understanding workflow, financials and employee efficiency

Key Points

Many quantitative and analytic tools are available for managers to better understand workflow processes, financial management, and employee efficiency.
A decision tree is a decision support tool that uses a tree-like graph or model of decisions and their possible consequences, including chance event outcomes, resource costs, and utility.
Simulation is the imitation of a real-world process or system over time.
Trend charts are often used in management to display data over time to explore any potential trends, either positive or negative, that require additional attention by management. It is important to use statistical confidence intervals when utilizing this type of forecast.
Benchmarking allows a manager to see how different aspects of a business are performing compared to national, regional, and industry standards. It also allows management to explore how the company is performing compared to its competitors.
Financial projections and net-present-value (NPV) analyses are also commonplace when deciding upon new operations quantitatively—where the company predicts profitability in today’s dollars.

Key Terms

benchmarking: A technique that allows a manager to compare metrics, such as quality, time, and cost, across an industry and against competitors.
decision tree: A visualization of a complex decision-making situation in which the possible decisions and their likely outcomes are organized in the form of a graph that resembles a tree.

Managers can use many different quantitative and analytic tools to better understand workflow processes, financial management, and employee efficiency. These tools, such as decision tress, simulation, trend charts, benchmarking, and financial projections, help managers improve their decision-making abilities, determine how the business is performing relative to competitors, and discover opportunities for improvement. Using these tools to create quantitative and measurable metrics helps an organization see exactly where it is performing well and where it is performing poorly.

Types of Quantitative Tools

Decision Tree

A decision tree is a branching graph or model of decisions and their possible consequences, including chance event outcomes, resource costs, and utility. Decision trees are commonly used in operations research (specifically in decision analysis) to help identify a strategy most likely to reach a specified goal. They can also be used to map out a thought process or the possible consequences of a decision. A manager may use this tool when deciding between different projects or investments.

Decision tree

Decision trees are used to determine the consequences and potential outcomes of an investment or a project. This decision tree shows the money lost or gained at each step along multiple potential paths of action. The path that results in the highest financial gain by the end is generally the one that should be chosen.

Simulation

Simulation is the imitation of a real-world process or system over time. The act of simulating something first requires that a model be developed; this model represents the key characteristics or behaviors of the selected physical or abstract system or process. A simulation could be used to study investment decisions by actively playing out what may happen in certain situations.

Trend Chart

Trend charts are often used to display data over time to explore any potential trends (either positive or negative) that require additional attention by management. Many metrics are analyzed using trend charts, including employee productivity, financial metrics, operational efficiency, and comparisons between competitors. Trends are only ever in the past, however, and utilizing confidence intervals when projected with trends is critical to their effectiveness.

Trend chart

A trend chart shows changes in spending, prices, efficiency, or any other metric that management is interested in analyzing over time. This chart of U.S. defense spending from 2000–2011 shows that overall spending increased from $300 billion to $700 billion due to increases in both the Department of Defense (DOD) budget and overseas (war-related) spending.

Benchmarking

Benchmarking allows a manager to see how different aspects of a business (usually quality, time, and cost) are performing compared to national, regional, and industry standards. It also allows a manager to explore how the company is performing compared to competitors. In the process of benchmarking, management identifies the best firms in the industry, or in another industry where similar processes exist, and compares the results and processes of the target firms to management’s own results and processes. In this way, management learns how well the targets perform and, more importantly, the business processes that explain why these firms are successful.

Financial Projections

Managers can also use financial analysis as a management tool. When investing in a project or an acquisition of any kind, a manager will always want to know how quickly the investment will bring in a profit. For example, when a company invests in a new building, management will calculate how long it will take for the building to generate enough income to cover the upfront cost of the building and therefore start bringing in profits. This calculation is sometimes called a payback period. Payback period intuitively measures how long something takes to pay for itself. All else being equal, shorter payback periods are preferable to longer payback periods. This is often referred to as an NPV, or a net present value, where the company calculates the future value of the project in today’s dollars. It is critical to remember that a dollar today and a dollar tomorrow have a different value.

3.4.2: Operations-Management Tools

Six Sigma and Lean are two popular operations-management theories that help managers improve the efficiency of their production processes.

Learning Objective

Give examples of operations management tools that assist the organization in overseeing, designing and controlling production processes

Key Points

The main tools of operations management come from two popular theories of organizing business: Six Sigma and Lean.
Six Sigma relies on particular quality-management methods, such as statistical analytics, and creates a special infrastructure of employees within an organization (e.g., “Black Belts,” “Green Belts”) who are experts in these methods.
Lean is a production theory that considers the expenditure of resources for any goal other than the creation of value for customers wasteful, and thus a good target for elimination.
By leveraging operational paradigms constructed to deliberately capture value through maximizing efficiency, managers can lower costs for companies and prices for consumers.

Key Terms

Lean: Lean is a production strategy focused on eliminating all unnecessary waste in production.
Six Sigma: A process-improvement method that focuses on statistical methods to reduce the number of defects in a process.

Operations management is a type of management that oversees, designs, and controls a company’s production processes. This type of management is also tasked with redesigning business operations in the production of goods and/or services, if that is necessary. Operations managers are responsible for ensuring that business operations are efficient, both in terms of conserving resources and in terms of meeting customer requirements. They manage the process that converts inputs (materials, labor, and energy) into outputs (goods and services). In order to accomplish this task, managers utilize various tools, two of the most influential being Six Sigma and Lean.

Six Sigma

Six Sigma is a strategy designed to improve the quality of process outputs. The Six Sigma program accomplishes this by identifying and removing the causes of defects (errors) and by minimizing the variability present in manufacturing and business processes.

This strategy relies on particular quality-management methods, such as statistical analytics, and creates a special infrastructure of employees within an organization (e.g., “Black Belts,” “Green Belts”) who are experts in these methods. Each Six Sigma project in an organization follows a defined sequence of steps and has quantified financial targets such as reducing costs or increasing profits. Among the tools used in Six Sigma are process mapping, trending charts, calculations of potential defects, ratios, and statistics. Best practices for work within a team are also used.

Six Sigma

Six Sigma is a tool used by many managers when determining how to reduce the number of defects created by their processes.

Lean

Lean is similar to Six Sigma, but is slightly less focused on defect rate and more focused on eliminating the amount of waste and excessive steps in an operation. Lean is a production theory that considers the expenditure of resources for any goal other than the creation of value for the customer wasteful, and thus a target for elimination. Beginning from the perspective of the consumer of a product or service, “value” is defined as any action or process that a customer would be willing to pay for. Lean employs tools to evaluate production workflow and determine where there is waste. Examples of this waste would be excess motion, inventory, and overproduction.

Examples of Six Sigma and Lean

In many ways, Lean manufacturing and Six Sigma is reminiscent of Henry Ford and systematic process improvements. The overarching theme is simply to minimize time expenditures on behalf of employees and maximize output with the same amount of input. Toyota (and the concept of kaizen) is a fantastic example of Lean manufacturing and what is called just-in-time (JIT) inventory management. Toyota became famous in manufacturing for timing every specific element of the manufacturing process to ensure that minimal warehousing was required, delivering each new add-on component at precisely the time it would be needed and in exactly the location it would be installed. This created a process flow that minimized space usage (lowering costs), optimized timing, and created widespread consistency of operational flow.

Lean and Six Sigma are the two main tools for managers in operations management. Both of these operational strategies offer managers an extensive toolbox with which to analyze how efficiently their production is running. These tools analyze workflow, evaluate the presence and cause of waste, and decrease defects in products or services, all of which make a company more efficient.

3.4.3: The Systems Viewpoint

Systems thinking is an approach to problem solving that considers the overall system instead of focusing on specific parts of a system.

Learning Objective

Define the systems view as it applies to business strategies and overall organizational control

Key Points

Systems thinking is an approach to problem solving that views problems as part of an overall system. This is opposed to problem-solving strategies that only focus on specific parts or outcomes of a problem.
Systems thinking approaches problems as a set of habits or practices within a framework. It is based on the belief that the component parts of a system are best understood in the context of their relationships with each other rather than in isolation.
Systems thinking is opposed to fragmented thinking, which involves thinking about specific problems without considering the context, environment, and effects of similar problems.

Key Term

fragmented thinking: Thinking about problems as isolated events instead of considering problems as resulting from a system as a whole.

Systems thinking is the process of understanding how people and situations influence one another within a closed system. In nature, air, water, movement, plants, and animals interact with one another and survive or perish in relationship with each other. In business, management also involves systems thinking.

Organizational Systems

Organizational systems consist of people, structures, and processes working together to make an organization healthy or unhealthy. The end product of effective systems management is synergy, in which the end product has more value than the individual sum of its parts. Systems generally contain the following aspects:

Inputs (e.g., people, time, energy, information)
Processes or reactions (e.g., tools, software, analyses)
Outputs (e.g., products, reports, plans)
Feedback mechanisms (e.g., information, reports)

Problem Solving

When problem-solving, advocates of systems thinking must consider specific problems within an overall system rather than reacting to specific issues or specific outcomes. In systems thinking, problems are conceptualized as a set of habits or practices that exist within a framework. Practitioners of systems thinking believe that the component parts of a system can best be understood, and best analyzed, in the context of their relationships with other parts of a system .

Systems thinking

Focus on the interaction of isolated problems with one another: just as separate gears work with each other, problems in one area can effect other areas in a system as well.

This method is opposed to a reductive framework that attempts to focus closely on a single problem. In this type of fragmented thinking, problems are addressed without considering the context, environment, or the impact of similar problems. Fragmented thinking often results in solutions that cannot be applied to multiple situations and are unlikely to remain relevant over time. This means management will be putting out more fires because the root problem is unresolved.

Here is an example of systems thinking: say that a single department, Human Resources, is beset with problems in workflow and efficiency. A manager who uses systems thinking to fix this problem looks at Human Resources in the context of all of the workflow in the company to see whether the “Human Resources problem” could actually be a company-wide issue. Only a systems-thinking approach can lead to this realization because systems thinking provides insight into how problems that manifest in a specific location can spring from distant, seemingly unrelated locations. This helps managers get an accurate understanding of the problem and facilitates a superior response to the problem.

Example

3.4.4: The Contingency Viewpoint

The contingency viewpoint of management proposes that there is no standard for management; instead, management depends on the situation.

Learning Objective

Recognize the potential flexibility and value that can be captured through considering contingencies and alternatives from a managerial perspective

Key Points

The contingency viewpoint is a more recent development in organizational theory that attempts to integrate a variety of management approaches, proposing that there is no one best way to organize a corporation or lead a company.
Debating which one of the previous approaches to management is the “best” approach is irrelevant in contingency theory, since the heart of the contingency approach is that there is no “one best way” for managing and leading an organization.
The contingency viewpoint focuses on management’s ability to achieve alignments and good fits between employees and circumstances by considering multiple solutions to determine the best one for each particular problem.
The focal point, and modern relevance, of this perspective is the concept of adaptability. Technology and globalization evolve the business environment so rapidly that adaptable strategies are more appropriate than static ones, making contingencies key to success.

Key Term

Contingency Viewpoint: A theory of management that proposes that there is no standard for management practice, instead it should depend on the situation.

The contingency viewpoint is a more recent development of organizational theory that attempts to integrate a variety of management approaches by proposing that there is no one best way to organize a corporation or lead a company. Instead, the optimal course of action is contingent or dependent upon the specific internal and external situation management may find itself in.

Perspective on Previous Theories

The contingency approach claims that past theories, such as Max Weber’s bureaucracy theory of management and Taylor’s scientific management, are no longer practiced because they fail to recognize that management style and organizational structure are influenced by various aspects of the environment, known as contingency factors. Debating which one of the previous approaches to management is the “best” approach is irrelevant in contingency theory, since the heart of the contingency approach is that there is no “one best way” for managing and leading an organization.

Possibilities

The basic premise behind contingency theory is that there are limitless possibilities that companies must be prepared to adapt to strategically.

An Outline of Contingency Theory

By its nature, contingency theory avoids static rules. There are, however, common contingencies that businesses must react to, including technology, competition, governments, unions, consumer interest groups, new markets and consumers, and economic factors. Fred Fiedler takes this a step further to identify three leadership styles and empirical situation measurements to assess the degree of favorability a given contingency offers:

The leader-member relationship, which is the most important variable in determining the situation’s favorableness.
The degree of task structure, which is the second most important input into the favorableness of the situation.
The leader’s position power obtained through formal authority: this is the third most important dimension of the situation.

In other words, leadership needs to ensure that it is able to assess a situation, determine the task structure, and obtain a position of formal authority in order to be able to adequately manage a contingency situation.

An example of the contingency viewpoint in action is a manager facing a situation with an employee who regularly shows up late to work. A manager could have a written protocol for this situation in which there is only one option: give the employee notice. Under the contingency viewpoint, however, the manager may decide to better understand the situation by talking to the employee about why s/he is late to work and then deciding on the most effective and appropriate course of action. The value in this lies in the information the manager acquires about the employee: maybe there are extenuating circumstances that can be relatively easy to work around. In this case, the contingency approach allows the employee to keep her/his job and saves the manager from going through the time and trouble to dismiss one employee and hire another.

A leader’s ability to manage under the contingency viewpoint depends largely on the nature of the environment and how the organization relates to the environment. Therefore, the organizational structure is a major component of the approach that management may take in resolving problems under contingency theory.

3.4.5: Quality Control and Assurance

Quality assurance and quality control are intended to ensure that products are created with the fewest number of defects possible.

Learning Objective

Discuss quality control (QC) and quality assurance (QA) as integral components of an effective organizational management structure

Key Points

Quality assurance (QA) refers to planned and systematic activities implemented in a quality system to fulfill the quality requirements for a product or service.
Quality control (QC) is a process by which products are tested to uncover defects and the results are reported to management, which makes the decision to allow or deny product release.
Quality control and quality assurance work together to make sure that a company’s products have the lowest possible error rate.
As global markets expand, and as outsourcing becomes common practice, QC and QA are increasingly important strategic initiatives. When companies do not control their manufacturing process, they must invest in controlling the quality of their vendors.

Key Term

Failure testing: Failure testing involves determining the point of stress level in which a product will fail.

Quality assurance and quality control are two methods of planning and implementing structured methods in a work process to ensure that products are created with the highest possible quality and with the smallest number of defects and problems.

Quality Assurance

Quality assurance (QA) refers to the planned and systematic activities implemented in a quality system to fulfill the quality requirements for a product or service It is a systematic measurement compared to a set standard, with process monitoring used to prevent errors. This can be contrasted with quality control, which is focused on process outputs. Two key principles of QA are:

Fit for purpose: The product should be suitable for its intended purpose.
Right the first time: Mistakes should be eliminated.

QA includes managing the quality of raw materials, assemblies, products, components, services related to production, management processes, production processes, and inspection processes. The critical takeaway here is that QA equates to process observations.

Quality assurance is measured through failure testing and statistical control. Failure testing determines the stress levels under which a product will fail by exposing it to unanticipated stresses, like intense vibration, temperature, and humidity. Stress testing uncovers problems that can be fixed with simple changes to improve the product. Statistical controls ensure that an organization is producing quality products at the lowest possible defect rate. Many organizations use Six Sigma levels of quality, so the likelihood of an unexpected failure is less than four in one million.

Assembly line and quality control

Many processes, such as assembly lines, help ensure quality assurance and control by streamlining the production process.

Quality Control

Quality control (QC) is the process of testing finished products to uncover defects and reporting the results to management, which makes the decision to allow or deny product release. It differs from quality assurance, which attempts to improve and stabilize a product, and eliminate any flaws, during production.

Controls also include product inspection: every product is examined visually before the product is sold into the external market. Inspectors are provided with lists and descriptions of unacceptable product defects, such as cracks or surface blemishes. Efficient quality control depends on top-notch visual examination of products, employee training, and organizational culture.

Quality control and quality assurance work together to make sure that companies produce products that have the lowest possible error rate, so there will be fewer customer complaints and no need to rework the product in the future.

Outsourcing

Due to the high degree of vendor dependency, many corporations find their manufacturing processes are conducted outside of their organization. This can lead to difficulties in maintaining process quality. In this situation, a corporation needs to invest in QC professionals to maintain organizational standards. The primary takeaway here is that QC is not simply an internal concern for many businesses, but also an external vendor selection criteria.

3.4.6: Evidence-Based Management

Evidence-based management emphasizes the importance of managers using the scientific method to make decisions.

Learning Objective

Discuss the modern organizational theory perspective on utilizing evidence-based strategies, as is common in many science disciplines, to make business decisions

Key Points

Evidence-based management is rooted in evidence-based medicine, a movement to apply the scientific method to medical practice. Evidence-based management is an emerging movement to explicitly use current best practices in managerial decision-making.
Evidence-based management bases managerial decisions and organizational practices on the best available scientific evidence.
While there is a rich body of academic literature pertaining to tried-and-true managerial strategies, real-world application of such resources is relatively rare.
Promoting evidence-based management is challenging because it can conflict with traditional definitions and expectations of management.
Little shared terminology exists between managers of different companies, which makes it difficult for managers to hold discussions on evidence-based practices. The adoption of evidence-based practices is likely to be organization-specific instead of happening across organizations.

Key Term

terminology: The set of terms actually used in any business, art, science, or the like; nomenclature; technical terms; such as, the terminology of chemistry.

Evidence-based management (EBMgt or EBM) is an emerging movement that explicitly uses current best practices in managerial decision-making. Evidence-based management is rooted in evidence-based medicine, which is the rigorous statistical and experimental process that new pharmaceuticals go through prior to being deemed safe to use. This results in treatments that are the maximally effective and safe for patients. Applying this to business simply means utilizing the scientific method, which integrates rigorous and objective hypothesis testing, in order to identify best practices.

Research and Evidence-Based Management

Evidence-Based Management is modeled after Evidence-Based Medicine, which emphasizes the importance of scientific research in decision-making.

The Scientific Method

Evidence-based management bases managerial decisions and organizational practices on the best available scientific evidence. Practicing EBMgt requires managers to collect data, run tests, generate hypotheses, and objectively interpret the findings to create an accurate depiction of the efficacy of a given managerial style or decision. This is quite challenging, because management is much less tangible and measurable than many other scientific disciplines.

An example of EBMgt in practice could be a group of managers in an organization trying to determine how to improve job satisfaction. They could conduct a comprehensive and objective (therefore blind) survey across a large number of organizations, collecting enough data on the organizational reimbursements for employees, employee satisfaction, and company cultures to determine if a positive company culture is more relevant than salary to job satisfaction. After collecting n number of responses, this data could be assessed statically for a confidence interval, revealing the conclusion to be either significant or insignificant to future management decisions.

Integration with Organizations

While there is a rich body of academic literature pertaining to tested and true managerial strategies, real-world application of such resources is relatively rare. MBAs and degree holders in business have some exposure to this literature, but rarely move it from the theoretical realm to actual practice. Motivating real-life applications of these studies for management could prove advantageous for companies looking to improve their managerial effectiveness.

An important component of evidence-based management is helping managers understand the importance of backing up decisions with sound scientific reasoning. Unfortunately little shared language or terminology exists between managers, which makes it difficult for managers to hold discussions of evidence-based practices. For this reason, the adoption of evidence-based practices is likely to be organization-specific, where leaders take the initiative to build an evidence-based internal culture.

3.5: Evolving Organizations

3.5.1: Knowledge Management and Behavior Modification

Knowledge management and behavior modification are tactics employers use to ensure organizational growth and adaptability.

Learning Objective

Compare and contrast the acquisition of knowledge and the modification of behavior as internally evolving organizational components

Key Points

Knowledge management is an organizational concept that takes the best knowledge from individual employees and organizes it into a functional learning and education system that all employees can learn from.
Knowledge management is usually implemented by a company’s information technology department via electronic collection of specific components of employee expertise, creation of online learning modules, and redistribution of the modules to the whole company.
Behavioral modification includes the alteration of an individual’s behavior through data collection and positive/negative reinforcement.
In an organization, behavior modification is typically studied to examine how employees perceive their performance in relation to rewards. At a high level, it is used to develop strategies for improving performance behavior.

Key Term

Knowledge management: Used in organizations to collect employee’s specialized knowledge and organize, redistribute, and share with the company.

Knowledge management (KM), and the modification of behavior through utilizing organizational knowledge, is central to an organization’s ability to grow and adapt. The value of knowledge management from the perspective of the organization is its ability to help employees learn and improve their skills, allowing the organization itself to evolve and achieve higher efficiency. Knowledge is an intangible resource which organizations can concretize by documenting experience over time. This helps them to avoid repeating mistakes and to improve current strategies.

Knowledge Management

Knowledge management is the range of strategies and practices used by an organization to identify, create, represent, distribute, and enable the adoption of employee insights and experiences. These insights and experiences constitute the company’s “knowledge,” either embodied in individuals or embedded in organizations as processes or practices. KM includes courses taught in the fields of business administration, information systems, management, and library and information sciences.

More recently, other fields have started contributing to KM research, including information and media, computer science, public health, and public policy. Knowledge management also focuses on organizational objectives such as improved performance, competitive advantage, innovation, and continuous improvement. KM is similar to organizational learning but distinguishes itself because it focuses more on knowledge as a strategic asset of a company’s employees. It encourages the sharing of knowledge to further the company’s success.

Many organizations include resources dedicated to internal knowledge management efforts in their business strategy, information technology, or human resource management departments. Consulting companies are also sometimes hired to provide advice about knowledge management. Knowledge management in a company is sometimes seen as an organizational concept that takes the best knowledge from individual employees and organizes it into functional learning and education systems that all employees can learn from. The company’s information technology department can make this happen by electronically collecting specific components of an employee’s knowledge expertise, creating an online learning module, and redistributing it to the company.

For example, an employee who is particularly knowledgeable about a certain computer system. This employee may be asked to write a training manual or presentation about this computer system which is then distributed to the company so that others can also benefit from that individual’s knowledge. Knowledge-sharing is the most important component of knowledge management and is essential to helping an organization evolve and grow.

Behavior Modification

Behavior modification was first introduced in psychology as a collection of behavioral change techniques to increase or decrease the frequency of behaviors. In psychology, behavioral modification was made popular by B. F. Skinner, who analyzed the triggers and rewards for certain behaviors in a series of experiments with animals. Behavioral modification includes altering an individual’s behavior through positive and negative reinforcement.

B.F. Skinner

B.F. Skinner introduced the study of behavior modification, focusing on how animals and humans react to reward and punishment. His theories are still used in behavior modification today.

Behavior modification in an organization is typically studied to examine how employees perceive their performance in relation to rewards. The process of behavioral modification in the workplace focuses on identifying the frequency of certain performance-related behavior, as well as determining what started or triggered that specific behavior. Once the trigger is identified, management can determine if it wants to develop a different trigger to change the employee’s performance or if it should sustain the current performance through rewards and appraisal.

Behavioral modification is generally used on a broader scale to determine how best to develop employee performance to move an organization in the desired direction. Knowledge management can help with this by providing employees with adequate training and skills and making sure that they know that they are valuable members of the organization worth investing in and empowering. Training employees and improving their knowledge, skills, and behavioral approaches to work helps an organization to evolve and improve.

Example

An example of knowledge management would involve an employee who is particularly knowledgeable about a certain computer system. This employee may be asked to write a training manual or presentation about this computer system, which is then distributed to the company so that others can also benefit from that individual’s knowledge.

3.5.2: Accelerated Change and Adaptation

Change management facilitates employee adaptation to organizational change.

Learning Objective

Identify the role of change management with the larger context of organizational theory

Key Points

Change is essential to organizational growth and development. But employees can be uncomfortable with change, particularly when it affects their work on a daily basis.
Sometimes an organization faces accelerated change, from attempts to change its overall mission, for example, or to implement a disruptive technology. In this situation it is important for employees to be able to adapt quickly.
Quick adaptation to change is facilitated through change management strategies such as communication, employee alignment with expectations, training, and transparency of management.

Key Term

change management: Change management attempts to use strategies such as communication and training to help employees become more comfortable with organizational changes.

Managing Change and Adaptation

Change is essential to organizational growth and development. But employees don’t always embrace change, particularly when it upsets routines and/or the status quo. Employees can view change as a threat if it impacts their daily tasks, training, or possibly their job. Change management is an approach to shifting and transitioning individuals, teams, and organizations from a current state to a desired future state. It is an organizational process aimed at helping change stakeholders to accept and embrace changes in their business environment.

Drivers of rapid adaptation are numerous, but one of the most relevant to modern organizations is the advent of new technology. When the smartphone was introduced and became popular, all companies in the phone industry had to react rapidly to switch their operational focus to smart phones, data plans, app stores, and multiple device integration. Companies that could not react and adapt quickly enough to the disruptive technology were left in the dust.

Sometimes an organization faces accelerated change when it is attempting to change its overall mission and refocus its vision. In the recent recession, this occurred within a number of organizations that thought that the best way to survive was to re-brand or reorganize their business strategy as a whole. Changing a company’s brand or overarching strategy (i.e., differentiation to low-cost or vice versa) is a massive overhaul that will undoubtedly upset a number of people internally and externally. Responsible change is a complex process.

Organizational Change and Employees

Major changes to an organization will force employees to adapt. Employees may not approve of the change, but they will be required to adapt to it if they want to keep their jobs. This is likely to create tension between what the employees want and what is occurring in the organization. Change management helps employees adapt to accelerated organizational change by attempting to eliminate the tension between employees’ resistance to and suspicions about change and the organization’s new direction.

Change management uses basic structure and tools to control an organizational change effort; these primarily revolve around ensuring that all stakeholders are aware of what’s going on and involving them in the strategic process. Managerial transparency about what is happening and why is critical to employee buy-in. Communicating effectively and comprehensively and hearing out employee fears, criticisms, and suggestions are integral to ensuring that everyone is on the same page. When changing the organization is required to remain profitable, employees will understand that they must pitch in to maintain the relevancy of their job.

3.5.3: The Role of the Manager in an Evolving Organization

Managers play a number of roles in evolving organizations, including leader, negotiator, figurehead, liaison, and communicator.

Learning Objective

Break down the various and critical roles a leader must play in the transitional process from an organization perspective

Key Points

A manager needs to be a good leader. While a manager organizes and plans, s/he must also inspire employees with a vision for the organization.
A manager needs to be an effective negotiator. When organizations are developing or undergoing change, the manager is often required to negotiate with competitors, contractors, suppliers, and employees.
A manager must be a good figurehead who reinforces the mission and vision of an organization to employees, customers, and other stakeholders.
A manager needs to be an effective communicator and liaison between employees, customers, and other managers of the organization.

Key Term

leader: A leader is thought to differ from a manager in that a leader’s intention is to inspire and motivate while a manager’s role is focused more on organization and planning.

Managers play an integral part in an organization’s growth and evolution. Organizational growth is a complex process, particularly in larger organizations with more inertia. Organizations are essentially a compilation of moving parts: motivating each individual, with her/his unique talents and motivation, to change direction simultaneously (and in the same direction) is extremely challenging, and requires highly effective managers with highly developed communication skills.

Managers must do more than accept change: they must facilitate the evolutionary process. In these situations, organizations need a manager who can fulfill several roles, including leader, negotiator, figurehead, and communicator. In each of these roles, the manager’s goal is to help employees through the change with the least possible number of conflicts and issues.

The Role of a Manager during Organizational Change

Leader

To effectively implement change, a manager needs to be a good leader. The manager must organize and plan the change and use leadership skills to inspire employees to embrace it. This is a complex and intangible skill, one which incorporates each of the roles listed below as well. Leadership is a broad term that incorporates communicating and inspiring those around you to embrace a perspective.

Negotiator

A negotiator is similar to a leader. When organizations are developing or undergoing change, the manager is often required to negotiate clearly and steadfastly with competitors, contractors, suppliers, and employees. A manager needs to be able to negotiate with all of these parties in a way that effectively serves the best interests of the organization.

Figurehead

A manager also needs to act as a figurehead of the organization. Upper management in particular is responsible for creating and reinforcing delivery of the mission and vision of an organization to employees, customers, and other stakeholders. Employees in particular must understand where the organization is headed and what its ultimate goals are. A manager-figurehead can come to symbolize the organization as a whole for customers. The manager who builds a positive rapport with both customers and employees creates a positive association of her/himself with the organization at large.

Liaison and Communicator

When managers effectively communicate their vision for the organization, employees are more likely to engage with their work and exert themselves to further the organizational mission. Communication is at the core of managing change effectively. Transparency and empathy are integral to making employees aware of and comfortable with the changes taking place. Managers in an evolving organization must stay in constant contact with their direct reports to ensure that everything is running smoothly and that all stakeholders are educated and on board.

Chapter 2: Organizational Structure

2.1: Defining Organization

2.1.1: The Role of Management in an Organization

Management is tasked with generating an organizational system and integrating operations for high efficiency.

Learning Objective

Categorize the three primary managerial levels in an organization

Key Points

Management may be described as the the people who design an organization’s structure and determine how different aspects of the organization will interact.
Management entails six basic functions: planning, organizing, staffing, leading, controlling, and motivating.
Different levels of management will participate in different components of this design process, with upper management creating the initial organizational architecture and structure.
Organizational design is largely a function based on systems thinking: identifying the moving parts within an organization that add value and ensuring that these parts function together as an effective and efficient whole.
Organizational design is less static in modern organizations; therefore, management must actively adapt organizational design to various challenges, opportunities, and technological improvements to maintain competitive output.

Key Terms

organization chart: A graphic display of reporting relationships, which sometimes displays position titles and position holders.
systems thinking: The process of understanding how parts influence one another within a whole.

Management and Organizational Design

Management can be described as the people who design an organization’s structure and determine how different aspects of the organization will interact. When designing an organization, managers must consider characteristics such as simplicity, flexibility, reliability, economy, and acceptability. Different levels of management will participate in different components of this design process, with upper management creating the initial organizational architecture and structure.

Organizational design is largely a function based on systems thinking. Systems thinking involves identifying the moving parts within an organization that add value and ensuring that these parts function together as an effective and efficient whole. Perspective is essential in systems thinking: a manager’s role in organizational design is to refrain from thinking of departments, individuals, processes, and problems as separate from the system and instead think of them as indivisible components of the broader organizational process.

Modern organizations exist within a framework of globalization and constant technological disruptions; as a result their organizational design is less static than in the past. Management must actively adapt organizations to meet various challenges, opportunities, and technological improvements to maintain competitive output. Because the organization is always changing, the problems of process and design are essentially limitless. Using a systems approach, managers view their objectives as moving targets and actively engage in expanding the organization day by day.

Management Processes

Organizations can be viewed as systems in which management creates the architecture for the system of production. Managers’ role in organizational design is central but must be understood in the context of their overall responsibilities within the organization.

Management operates through functions such as planning, organizing, staffing, leading/directing, controlling/monitoring, and motivation. These functions enable management to create strategies and compile resources to lead operations and monitor outputs.

The functions of management

Management operates through four main functions: planning, organizing, directing (i.e., leading), and controlling (i.e., monitoring and assessing).

Management Hierarchy

All levels of management perform these functions. However, the amount of time a manager spends on each function depends on the level of management and the needs of the organization—factors which play a role in organizational design.

Top-level managers include the board of directors, president, vice-president, CEO, and other similar positions. They are responsible for planning and directing the entire organization.
Middle-level managers include general managers, branch managers, and department managers, all of whom are accountable to the top-level management for the functions of their departments. They devote more time to organizing and directing.
First-level managers include supervisors, section leads, foremen, and similar positions. They focus on controlling and directing.

As a result of this hierarchy, upper management will view the organizational design from a macro-level and consider all moving parts of the organization. Middle-management will generally focus on operations within functional or geographic areas. Lower-level managers will look at specific processes within functions or regions. From an organizational-design perspective, the higher managers are in the organization, the broader the view they will take and the greater number of moving parts they will consider.

2.1.2: Basic Types of Organizations

Most organizations fall into one of four types: pyramids/hierarchies, committees/juries, matrix organizations, and ecologies.

Learning Objective

Describe the basic types of organizations using four common structures

Key Points

Organizations fall into one of four basic types: pyramids/hierarchies, committees/juries, matrix organizations, and ecologies.
From a business perspective, the choice of organizational design has substantial implications for strategy, authority distribution, resource allocation, and functional approaches.
A pyramid/hierarchy has a leader who is responsible for making all decisions that affect the organization. This leader manages other organizational members.
Committees/juries consist of groups of peers who decide collectively, sometimes by casting votes, on the appropriate courses of action within the organization.
Matrix organizations assign workers to more than one reporting line in an attempt to maximize the benefits of both functional and decentralized organizational forms.
In ecologies, each business unit represents an individual profit center that holds employees accountable for the unit’s profitability.

Key Terms

decentralized: A structure where business units operate autonomously and have greater decision-making power.
functional: A structure that consists of activities such as coordination, supervision, and task allocation.
common law: A precedent or policy developed by judges through decisions of courts and similar tribunals.

Basic Organizational Structures

An organization is a social entity with collective goals that is linked to an external environment. Most organizational structures fall into one of four types: pyramids/hierarchies, committees/juries, matrix organizations, and ecologies. From a business perspective, the choice of organizational design has substantial implications for strategy, authority distribution, resource allocation, and functional approaches.

Pyramid/Hierarchy

An organization using a pyramid or hierarchy structure has a leader who is responsible for and makes all the decisions affecting the organization. This leader manages other organizational members. Pyramids and hierarchies often rely on bureaucratic practices, such as clearly defined roles and responsibilities and rigid command and control structures. Like a physical pyramid, these organizations need a sturdy base with sufficient members to support various levels of management within the overall structure so that the organization does not fall short of its goals.

From a business perspective, a hierarchy will often be divided according to function or geography. For example, a global retailer may utilize a geographic hierarchy at the upper level, with each geographic branch creating a functional hierarchy beneath it. A smaller organization operating in a single region may simply have a functional hierarchy.

The Iraqi Special Security Organization

This organizational chart of the Iraqi Special Security Organization illustrates a hierarchy. Note the multiple separate layers to the organization’s hierarchy; the lowest layer includes individual branches, the next layer involves supervisory directorates, which report to the director’s office, who is accountable to the scientific branch.

Committee/Jury

Committees or juries consist of groups of peers who decide collectively, sometimes by casting votes, on the appropriate courses of action within an organization. Committees and juries have a basic distinction: members of a committee usually perform additional actions after the group reaches a decision, while a jury’s work concludes once the group has reached a decision. In countries with common-law practices, for example, a jury of peers render innocent or guilty verdicts in the court system. Juries are often used to determine athletic contests, book awards, and similar contests.

In the business world, a committee structure is more commonly found in smaller institutions. A start-up company with three people, for example, may easily function as a committee in which decisions are made via discussion. Committees represent a decentralized approach to organizational design and tend to have a collaborative, often unstructured workplace. The more people involved, the more disparate and less effective committee structures become.

Matrix

Matrix organizations assign employees to two reporting lines, each with a boss representing a different hierarchy. One hierarchy is functional and assures that experts in the organization are well-trained and assessed by bosses who are highly qualified in the same areas of expertise. The other hierarchy is executive and works to ensure the experts bring specific projects to completion. Matrix organizations are by far the most complex and are more common in large corporations.

Projects can be organized by product, region, customer type, or other organizational need. The matrix structure combines the best parts of both separate structures. In a matrix organization, teams of employees perform work to take advantage of the strengths and compensate for the weaknesses of both the functional and decentralized forms of organizational structure. Matrix organizations may be further categorized as one of the following types:

Weak/Functional Matrix: A project manager with limited authority is assigned to oversee cross-functional aspects of the project. Functional managers maintain control over their resources and project areas.
Balanced/Functional Matrix: A project manager is assigned to oversee the project. Power is shared equally between the project manager and functional managers, combining the best aspects of functional and project-oriented organizations. This system is the most difficult to maintain because of difficulties in power-sharing.
Strong/Project Matrix: A project manager is primarily responsible for the project. Functional managers provide technical expertise and assign resources as needed.

Ecology

In ecologies, each business unit represents an individual profit center that holds employees accountable for the unit’s profitability. These kinds of organizations foster intense competition, as all members are paid for the actual work they perform. Ineffective parts of the organization are left to fail and thriving parts are rewarded with more work. Companies that use this organizational structure define roles and responsibilities strictly, and each business unit tends to operate autonomously. In an ecology organization, clearly defined, measurable objectives that reflect the business’s goals are critical.

2.1.3: The Organizational Chart

An organization chart is a diagram that illustrates the structure of an organization.

Learning Objective

Compare the various types of organization charts that describe company structures

Key Points

Organization charts are a vital tool of management and can be classified into three broad categories: hierarchical, matrix, and flat (or horizontal).
Organization charts illustrate the structure of an organization, the relationships and relative ranks of its business units/divisions, and the positions or roles assigned to each unit/division.
Before working with an organization, employees should procure a copy of its organizational chart. A new employee or manager can then understand how authority is distributed within the organization and with whom to consult about various concerns.

Key Term

decentralized: Dispersed rather than concentrated in a single, central location or authority.

The Purpose of Organization Charts

An organization chart (sometimes called an organizational chart, an org chart, or an organogram) is a diagram that illustrates the structure of an organization, the relationships and relative ranks of its business units/divisions, and the positions or roles assigned to each unit/division.

Examples of such roles include managers of various departments, subordinates within these departments, directors, and chief executive officers. When an organization chart grows too large, it can be split into smaller charts that show only individual departments within the organization.

Prior to applying for a job or beginning work with an organization, a prospective employee should procure a copy of the organization chart. New employees or managers can then know with whom to consult about particular issues, as well as understand the distribution of authority within the company. The org chart can also provide insight into the broader strategy of the company—such as the degree of innovation versus process control being pursued, the flexibility of project management, the degree of autonomy, and the broader company culture.

The different types of organization charts include hierarchical, matrix, and flat (also known as horizontal). These are described briefly below.

Hierarchical Organization Charts

A hierarchical organization is an organizational structure with several reporting layers. Every entity within the organization—except for the owners—is subordinate and reports to a higher level entity.

Matrix Organization Charts

A matrix organizational chart displays how people with similar skills are pooled together for work assignments.

Matrix organizational chart

In a matrix structure, the organization is grouped by both product and function. Product lines are managed horizontally and functions are managed vertically. This means that each function—e.g., research, production, sales, and finance—has separate internal divisions for each product.

Flat or Horizontal Organization Charts

A flat organization chart shows few or no levels of intervening management between staff and managers. A flat chart will simply look like a line of boxes with no overt authority implied.

2.1.4: Characteristics of Organizational Structures

Important characteristics of an organization’s structure include span of control, departmentalization, centralization, and decentralization.

Learning Objective

Outline the departmentalization options available to corporations from an organizational structure perspective and differentiate between centralized and decentralized decision-making, and the resulting structural implications

Key Points

Organizational structures provide basic frameworks to help operations proceed smoothly and functionally.
Span of control refers to the number of subordinates a supervisor has; it is used as a means of ensuring proper coordination and a sense of accountability among employees.
Departmentalization is the basis by which an organization groups tasks together. There are five common approaches: functional, divisional, matrix, team, and network.
Centralization occurs when decision-making authority is located in the upper organizational levels. Centralization increases consistency in the processes and procedures that employees use in performing tasks.
Decentralization occurs when decision-making authority is located in the lower organizational levels. With decentralized authority, important decisions are made by middle-level and supervisory-level managers, thereby increasing adaptability.

Key Term

span of control: The number of subordinates a supervisor has.

Organizational structures provide basic frameworks to help operations proceed smoothly and functionally. Types of organizational structures include functional, divisional, matrix, team, network, and horizontal structures. Each of these structures provides different degrees of four common organizational elements: span of control, departmentalization, centralization, and decentralization.

Span of Control

Span of control—or the number of subordinates a supervisor has—is used as a means of ensuring proper coordination and a sense of accountability among employees. It determines the number of levels of management an organization has as well as the number of employees a manager can efficiently and effectively manage. In the execution of a task, hierarchical organizations usually have different levels of task processes. Workers at various levels send reports on their progress to the next levels until the work is completed.

In the past it was not uncommon to see average spans of one to four (one manager supervising four employees). With the development of inexpensive information technology in the 1980s, corporate leaders flattened many organizational structures and caused average spans to move closer to one to ten. As this technology developed further and eased many middle-managerial tasks (such as collecting, manipulating, and presenting operational information), upper management found they could save money by hiring fewer middle managers.

Departmentalization

Departmentalization is the process of grouping individuals into departments and grouping departments into total organizations. Different approaches include:

Functional – departmentalization by common skills and work tasks
Divisional – departmentalization by common product, program, or geographical location
Matrix – a complex combination of functional and divisional
Team – departmentalization by teams of people brought together to accomplish specific tasks
Network – independent departments providing functions for a central core breaker

Centralization

Centralization occurs when decision-making authority is located in the upper organizational levels. Centralization increases consistency in the processes and procedures that employees use in performing tasks. In this way, it promotes workplace harmony among workers and reduces the cost of production. Centralization is usually helpful when an organization is in crisis and/or faces the risk of failure.

Centralization allows for rapid, department-wide decision-making; there is also less duplication of work because fewer employees perform the same task. However, it can limit flexibility and natural synergies. Autonomy in decision-making is reserved for only a small number of individuals within the workforce, potentially limiting creativity.

Centralization vs. decentralization

This diagram compares visual representations of a centralized vs. decentralized organizational structure. Notice how the representation of the centralized organization looks like one large asterisk with many spokes, whereas the representation of the decentralized organization looks like many small interconnected asterisks.

Decentralization

Decentralization occurs when decision-making authority is dispersed among the lower organizational levels. With decentralized authority, important decisions are made by middle-level and supervisory-level managers. Because there are fewer hierarchical layers to navigate, this kind of structure helps to enable adaptability, quick reactions to lower level issues, and more empowered employees. However, making organization-wide changes that are implemented homogeneously can become quite difficult in this system.

2.2: Components of an Organization

2.2.1: Schein’s Common Elements of an Organization

The four common elements of an organization include common purpose, coordinated effort, division of labor, and hierarchy of authority.

Learning Objective

Describe the common elements that define an organizational structure, according to Edgar Schein

Key Points

Organizational psychologist Edgar Schein proposed four common elements of an organization’s structure: common purpose, coordinated effort, division of labor, and hierarchy of authority.
Common purpose unifies employees or members by giving everyone an understanding of the organization’s mission, strategy, and values.
Coordinated effort is the organization of individual efforts into a group or collective effort.
Division of labor is an arrangement in which different people perform discrete parts of a task for greater efficiency.
Hierarchy of authority is the control mechanism for making sure the right people do the right things at the right time. This control enables organization members to make decisions quickly when necessary.

Key Term

organizational psychologist: A person who conducts scientific study of employees and workplaces.

Common Elements of Organizations

Organizational psychologist Edgar Schein proposes four common elements of an organization’s structure:

Common purpose
Coordinated effort
Division of labor
Hierarchy of authority

From a manager’s point of view, operations are made successful by instilling a common purpose to create a coordinated effort across the organization and organizing resources based on tasks and decision making. Each of the four elements is relatively straightforward in theory but represents a critical component of an effective structure.

Common Purpose

An organization without a clear purpose or mission soon begins to drift and become disorganized. A common purpose unifies employees or members and gives everyone an understanding of the organization’s direction. Ensuring that the common purpose is effectively communicated across organizations (particularly large organizations with many moving parts) is a central task for managers. Managers communicate this purpose by educating all employees on the general strategy, mission statement, values, and short- and long-term objectives of the organization.

Coordinated Effort

Coordinating effort involves working together in a way that maximizes resources. The common purpose is achieved through the coordinated effort of all individuals and groups within an organization. The broader group’s diverse skill sets and personalities must be leveraged in a way that adds value. The act of coordinating organizational effort is perhaps the most important responsibility of managers because it motivates and distributes human resources to capture value.

Division of Labor

Division of labor is also known as work specification for greater efficiency. It involves delegating specific parts of a broader task to different people within the organization based upon their particular abilities and skills. Using division of labor, an organization can parcel out a complex work effort for specialists to perform. By systematically dividing complex tasks into specialized jobs, an organization uses its human resources more efficiently.

Hierarchy of Authority

Hierarchy of authority is essentially the chain of command—a control mechanism for making sure the right people do the right things at the right time. While there are a wide variety of organizational structures—some with more centralization of authority than others—hierarchy in decision making is a critical factor for success. Knowing who will make decisions under what circumstances enables organizations to be agile, while ambiguity of authority can often slow the decision-making process. Authority enables organizations to set directions and select strategies, which can in turn enable a common purpose.

2.3: Common Organizational Structures

2.3.1: Functional Structure

An organization with a functional structure is divided based on functional areas, such as IT, finance, or marketing.

Learning Objective

Explain the functional structure within the larger context of organizational structures in general

Key Points

A functional organization is a common type of organizational structure in which the organization is divided into smaller groups based on specialized functional areas, such as IT, finance, or marketing.
Functional departmentalization arguably allows for greater operational efficiency because employees with shared skills and knowledge are grouped together by function.
A disadvantage of this type of structure is that the different functional groups may not communicate with one another, potentially decreasing flexibility and innovation. A recent trend aimed at combating this disadvantage is the use of teams that cross traditional departmental lines.

Key Terms

departmentalization: The organization of something into groups according to function, geographic location, etc.
silo: In business, a unit or department within which communication and collaboration occurs vertically, with limited cooperation outside the unit.

Overview of the Functional Structure

An organization can be arranged according to a variety of structures, which determine how the organization will operate and perform. In a functional structure, a common configuration, an organization is divided into smaller groups by areas of specialty (such as IT, finance, operations, and marketing). Some refer to these functional areas as “silos”—entities that are vertical and disconnected from each other. Correspondingly, the company’s top management team typically consists of several functional heads (such as the chief financial officer and the chief operating officer). Communication generally occurs within each functional department and is transmitted across departments through the department heads.

Functional structure at FedEx

This organizational chart shows a broad functional structure at FedEx. Each different functions (e.g., HR, finance, marketing) is managed from the top down via functional heads (the CFO, the CIO, various VPs, etc.).

Advantages of a Functional Structure

Functional departments arguably permit greater operational efficiency because employees with shared skills and knowledge are grouped together by functions performed. Each group of specialists can therefore operate independently with management acting as the point of cross-communication between functional areas. This arrangement allows for increased specialization.

Disadvantages of a Functional Structure

A disadvantage of this structure is that the different functional groups may not communicate with one another, potentially decreasing flexibility and innovation. Functional structures may also be susceptible to tunnel vision, with each function perceiving the organization only from within the frame of its own operation. Recent trends that aim to combat these disadvantages include the use of teams that cross traditional departmental lines and the promotion of cross-functional communication.

Functional structures appear in a variety of organizations across many industries. They may be most effective within large corporations that produce relatively homogeneous goods. Smaller companies that require more adaptability and creativity may feel confined by the communicative and creative silos functional structures tend to produce.

2.3.2: Divisional Structure

Divisional structures group various organizational functions into product or regional divisions.

Learning Objective

Describe the basic premise behind divisional structures within the general framework of organizational structure

Key Points

The divisional structure is a type of organizational structure that groups each organizational function into a division. These divisions can correspond to either products or geographies.
Each division contains all the necessary resources and functions within it to support that product line or geography (for example, its own finance, IT, and marketing departments).
A multidivisional form (or “M-form”) is a legal structure in which one parent company owns subsidiary companies, each of which uses the parent company’s brand and name.
The divisional structure is useful because failure of one division doesn’t directly threaten the other divisions. In the multidivisional structure, the subsidiaries benefit from the use of the brand and capital of the parent company.
Disadvantages of divisional structure can include operational inefficiencies from separating specialized function. For the multidivisional structure, disadvantages can include increased accounting and taxes.

Key Terms

subsidiary: A company owned by a parent company or holding company.
division: A section of a large company.
parent company: An entity that owns or controls another entity.

Divisional Structure Overview

Organizations can be structured in various ways, with each structure determining the manner in which the organization operates and performs. A divisional organization groups each organizational function into a division.

U.S. Department of Energy organization chart

The DOE organization chart shows a divisional structure with different divisions under each of three under-secretaries for energy. Each of the three division is in charge of a different set of tasks: environmental responsibilities, nuclear-energy responsibilities, or research responsibilities.

Divisional Strategies

Each division within this structure can correspond to either products or geographies of the organization. Each division contains all the necessary resources and functions within it to support that particular product line or geography (for example, its own finance, IT, and marketing departments). Product and geographic divisional structures may be characterized as follows:

Product departmentalization: A divisional structure organized by product departmentalization means that the various activities related to the product or service are under the authority of one manager. If the division builds luxury sedans or SUVs, for example, the SUV division will have its own sales, engineering, and marketing departments distinct from those departments within the luxury sedan division.
Geographic departmentalization: Geographic departmentalization involves grouping activities based on geography, such as an Asia/Pacific or Latin American division. Geographic departmentalization is particularly important if tastes and brand responses differ across regions, as it allows for flexibility in product offerings and marketing strategies (an approach known as localization).

A common legal structure known as the multidivisional form (or “M-form”) also uses the divisional structure. In this form, one parent company owns subsidiary companies, each of which uses its brand and name. The whole organization is ultimately controlled by central management; however, most decisions are left to autonomous divisions. This business structure is typically found in companies that operate worldwide—for example, Virgin Group is the parent company of Virgin Mobile and Virgin Records.

Advantages of a Divisional Structure

As with all organizational structure types, the divisional structure offers distinct advantages and disadvantages. Generally speaking, divisions work best for companies with wide variance in product offerings or regions of geographic operation. The divisional structure can be useful because it affords the company greater operational flexibility. In addition, the failure of one division does not directly threaten the other divisions. In the multidivisional structure, subsidiaries benefit from the use of the brand and capital of the parent company.

Disadvantages of a Divisional Structure

Some disadvantages of this structure include operational inefficiencies from separating specialized functions—for example, finance personnel in one division do not communicate with those in another division. Disadvantages of the multidivisional structure can include increased accounting and tax implications.

2.3.3: Matrix Structure

The matrix structure is a type of organizational structure in which individuals are grouped via two operational frames.

Learning Objective

Illustrate the way two different operational perspectives can be crossed in a matrix structure to organize a company

Key Points

The matrix structure is a type of organizational structure in which individuals are grouped simultaneously by two different operational perspectives.
Matrix structures are inherently complex and versatile, making them more appropriate for large companies operating across different industries or geographic regions.
Proponents suggest that matrix management is more dynamic than functional management in that it allows team members to share information more readily across task boundaries; it also allows for specialization that can increase depth of knowledge.
A disadvantage of the matrix structure is the increased complexity in the chain of command, which can lead to a higher manager-to-worker ratio and contribute to conflicting loyalties among employees.

Key Term

matrix: A two-dimensional array.

Overview of the Matrix Structure

Organizations can be structured in various ways, and the structure of an organization determines how it operates and performs. The matrix structure is a type of organizational structure in which individuals are grouped by two different operational perspectives simultaneously; this structure has both advantages and disadvantages but is generally best employed by companies large enough to justify the increased complexity.

Matrix organizational structure

In matrix management, the organization is grouped by any two perspectives the company deems most appropriate. Common organizational perspectives include function and product, function and region, or region and product. In an organization grouped by function and product, for example, each product line will have management that corresponds to each function. If the organization has three functions and three products, the matrix structure will have nine (
) potential managerial interactions. This example illustrates how inherently complex matrix structures are in comparison to other, more linear structures.

Advantages of a Matrix Structure

Proponents of matrix management suggest that this structure allows team members to share information more readily across task boundaries, countering the “silo” critique of functional management. Matrix structures also allow for specialization that can both increase depth of knowledge and assign individuals according to project needs.

Disadvantages of a Matrix Structure

A disadvantage of the matrix structure is the increased complexity in the chain of command when employees are assigned to both functional and project managers. This increase in complexity can result in a higher manager-to-worker ratio, which can in turn increase costs or lead to conflicting employee loyalties. It can also create a gridlock in decision making if a manager on one end of the matrix disagrees with another manager. Blurred authority in a matrix structure can result in reduced agility in decision making and conflict resolution.

Matrix structures should generally only be used when the operational complexity of the organization demands it. A company that operates in various regions with various products may require interaction between product development teams and geographic marketing specialists—suggesting a matrix may be applicable. Generally speaking, larger companies with a need for a great deal of cross-departmental communication benefit most from this model.

2.3.4: Team-Based Structure

The team structure is a newer, less hierarchical organizational structure in which individuals are grouped into teams.

Learning Objective

Classify team-based structures within the larger context of the most common organizational structures

Key Points

The team structure in large organizations is a newer type of organizational structure. A team should be a group of workers, with complementary skills and synergistic efforts, all working toward a common goal.
An organization may have several teams that can change over time. Teams that include members from different functions are known as cross-functional teams.
Although teams are characterized as less hierarchical, they typically still include a management structure (or management team).
Critics argue that the use of the word “team” to describe modern organizational structures is a fad—that some teams are not really teams at all but merely groups of staff.
One aspect of team-based structures likely to persist indefinitely is the integration of team cultures within an broader structure (such as a functional structure with interspersed teams).

Key Terms

hierarchical: Classified or arranged according to various criteria into successive ranks or grades.
synergistic: Cooperative, working together, interacting, mutually stimulating.

Overview of the Team-Based Structure

Organizations can be structured in various ways, and the structure of an organization determines how it operates and performs. The team structure in large organizations is considered a newer type of organization that is less hierarchical, less structured, and more fluid than traditional structures (such as functional or divisional). A team is a group of employees—ideally with complementary skills and synergistic efforts—working toward a common goal. Teams are created by grouping employees in a way that generates a variety of expertise and addresses a specific operational component of an organization. These teams can change and adapt to fulfill group and organizational objectives.

Some teams endure over time, while others—such as project teams—are disbanded at the project’s end. Teams that include members from different functions are known as cross-functional teams. Although teams are described as less hierarchical, they typically still include a management structure.

Critics argue that the use of the word “team” to describe modern organizational structures is a fad; according to them, some teams are not really teams at all but rather groups of staff. That said, team-building is now a frequent practice of many organizations and can include activities such as bonding exercises and even overnight retreats to foster team cohesion. To the extent that these exercises are meaningful to employees, they can be effective in improving employee motivation and company productivity.

Integration with Other Structures

One aspect of team-based structures that will likely persist indefinitely is the integration of team cultures within an broader structure (e.g., a functional structure with teams interspersed). Such integration allows for the authority and organization of a more concrete structure while at the same time capturing the cross-functional and projected-oriented advantages of teams.

For example, imagine Proctor and Gamble brings together a group of employees from finance, marketing, and research and development—all representing different geographic regions. This newly created team is tasked with the project of creating a laundry detergent that is convenient, economic, and aligned with the company’s manufacturing capabilities. The project team might be allocated a certain number of hours a month to devote to team objectives; however, members of the team are still expected to work within their respective functional departments.

2.3.5: Network Structure

In the network structure, managers coordinate and control relationships with the firm that are both internal and external.

Learning Objective

Identify the structural implications of a network-based organizational design

Key Points

The network structure is a newer type of organizational structure viewed as less hierarchical (i.e., more “flat”), more decentralized, and more flexible than other structures.
In a network structure, managers coordinate and control relationships that are both internal and external to the firm.
The concept underlying the network structure is the social network—a social structure of interactions. Open communication and reliable partners (both internally and externally) are key components of social networks.
Proponents argue that the network structure is more agile than other structures. Because it is decentralized, a network organization has fewer tiers, a wider span of control, and a bottom-up flow of decision making and ideas.
A disadvantage of the network structure is that this more fluid structure can lead to more complex relations in the organization.

Key Terms

agile: Apt or ready to move; nimble; active.
decentralized: Diffuse; having no center or several centers.
network: Any interconnected group or system.

Overview of the Network Structure

An organization can be structured in various ways that determine how it operates and performs. The network structure is a newer type of organizational structure often viewed as less hierarchical (i.e., more flat), more decentralized, and more flexible than other structures. In this structure, managers coordinate and control relations that are both internal and external to the firm.

The concept underlying the network structure is the social network—a social structure of interactions. At the organizational level, social networks can include intra-organizational or inter-organizational ties representing either formal or informal relationships. At the industry level, complex networks can include technological and innovation networks that may span several geographic areas and organizations. From a management perspective, the network structure is unique among other organizational structures that focus on the internal dynamics within the firm.

A network organization sounds complex, but it is at its core a simple concept. Take, for example, a T-shirt design company. Because the company leaders are mainly interested in design, they may not want to get too heavily involved in either manufacturing or retail; however, both aspects of the business are necessary to complete their operations. To maintain control of their product, they may rent retail space through their network and purchase production capabilities from a variety of partner organizations that have their own manufacturing facilities. While the core company focuses mainly on designing products and tracking finances, this network of partnerships enables it to be much more than just a design operation.

Like other organizational structures, the network structure has its advantages and its disadvantages.

Advantages of a Network Structure

Proponents argue that the network structure is more agile compared to other structures (such as functional areas, divisions, or even some teams). Communication is less siloed and flows freely, possibly opening up more opportunities for innovation. Because the network structure is decentralized, it has fewer tiers in its organizational makeup, a wider span of control, and a bottom-up flow of decision making and ideas.

Disadvantages of a Network Structure

On the other hand, this more fluid structure can lead to a more complex set of relationships in the organization. For example, lines of accountability may be less clear, and reliance on external vendors can be quite high. These potentially unpredictable variables essentially reduce the core company’s control over its operational success.

2.3.6: Modular Structure

In the modular structure, an organization focuses on developing specialized and relatively autonomous strategic business units.

Learning Objective

Define the nature and value of a modular structure in an organizational framework

Key Points

The modular structure divides the business into small, tightly knit strategic business units (SBUs),which focus on specific elements of the organizational process.
Interdependencies between modules tends to be weak; however, flexibility is extremely high.
An advantage of the modular structure is that loosely coupled structures enable organizations to be more flexible and restructure more easily. For example, a firm can switch between different providers and thus respond more quickly to different market needs.
Increased internalization and more tightly coupled structures can produce better communication and intellectual property gains. As a result, some argue that the modularity of a firm should be limited to the extent the flexibility it affords results in gains.
Various degrees of modularity are possible; however, a business must be consistent in the degree of modularity it employs.

Key Terms

modular: Consisting of separate units, especially where each unit performs a specified function and could be replaced by a similar unit for the same function, independently of other units.
disaggregation: A division or breaking up into constituent parts, particularly categories which have been lumped together.

Overview of the Modular Structure

Organizations can be structured in various ways that determine how the organization operates and performs. The modular structure focuses on dividing the business into small, tightly knit strategic business units (SBUs), which focus on specific elements of the organizational process. Interdependence among the units is limited because the focus of many SBUs is more inward than outward and because loyalty within SBUs tends to be very strong.

The term modularity is widely used in studies of technological and organizational systems. Product systems are deemed modular when they can be broken down into a number of components that can then be mixed and matched to connect, interact, or exchange resources. Modularization within organizations leads to the disaggregation of the traditional form of hierarchical governance into relatively small, autonomous organizational units (modules). Although modules are not generally interdependent, the modular organization is extremely flexible.

For example, a firm that employs contract manufacturing rather than in-house manufacturing is using an organizational component that is more independent. The firm can switch between different contract manufacturers that perform different functions; the contract manufacturer can similarly work for different firms. Another (more internally focused) modular model involves the existence of various consumer services which cater to dramatically different needs or demographics. At GNU Health, for example, the surgery unit may interact with different departments at different times for different reasons.

Modular organizations

A modular organization involves several largely independent bodies that can rearrange and work with different other departments as needed. This image shows the GNU health module interacting with many different departments, such as oncology, radiology, surgery and pediatrics, across many contexts, such as location and socioeconomic status.

Advantages of a Modular Structure

One advantage of the modular structure is that loosely coupled structures can enable organizations to be more flexible and restructure more easily. For example, a firm can switch between different providers and thus respond more quickly to different market needs. An organization can also fill its own corporate needs internally by creating a new modular department, which can operate interdependently with the whole.

Disadvantages of a Modular Structure

On the other hand, more internalization and more tightly coupled structures can produce better communication and intellectual property gains. As a result, critics of the modular organization argue that a firm’s modularity should be limited to the extent that its flexible nature affords gains. Various degrees of modularity are possible but not necessarily useful if the pros do not outweigh the cons. Managers must carefully consider whether or not a modular structure would be useful, either entirely or partially, for a given organization.

2.4: Factors to Consider in Organizational Design

2.4.1: Considering the Environment

Considerations of the external environment—including uncertainty, competition, and resources—are key in determining organizational design.

Learning Objective

Identify the inherent complexities in the external environment that influence the design of an organization’s structure

Key Points

Organizational design is dictated by a variety of factors, including the size of the company, the diversity of the organization’s operations, and the environment in which it operates.
According to several theories, considerations of the external environment are a key aspect of organizational design. These considerations include how organizations cope with conditions of uncertainty, procure external resources, and compete with other organizations.
A company in a highly uncertain environment must prioritize adaptability over a more rigid and functional strategy. In contrast, a company in a mature market with limited variability and uncertainty should pursue more structure.
A company with a low-cost strategy relative to its competition may benefit from a more simplistic and fixed structural approach to operations, while a company pursuing differentiation must prioritize flexibility and a more diversified structure.

Key Terms

differentiation: A strategy focused on creating a unique product for a particular population.
strategy: A plan of action intended to accomplish a specific goal.

Overview

Organizational design is dictated by a variety of factors, including the size of the company, the diversity of the organization’s operations, and the environment in which it operates. Considerations of the external environment are a key aspect of organizational design. The environment in which an organization operates can be defined from a number of different angles, each of which generates different structural and design strategies to remain competitive.

Complexity

Complexity theory postulates that organizations must adapt to uncertainty in their environments. The complexity theory treats organizations and firms as collections of strategies and structures that interact to achieve the highest efficiency within a given environment. Therefore, companies in a highly uncertain environment must prioritize adaptability over a more rigid and functional strategy. Alternatively, a fixed and specific approach to organizational design will capture more value in a mature market, where variability and uncertainty are limited.

Resource Dependence

Another perspective on organizational design is resource dependence theory—the study of how external resources affect the behavior of the organization. Procuring external resources is important in both the strategic and tactical management of any company. Resource-dependence theory explores the implications regarding the optimal divisional structure of organizations, recruitment of board members and employees, production strategies, contract structure, external organizational links, and many other aspects of organizational strategy.

Competition

Another environmental factor that shapes organization design is competition. Higher levels of competition require different organizational structures to offset competitors’ advantages while emphasizing the company’s own strengths. A company that demonstrates strength in differentiation relative to the competition benefits from implementing a divisional or matrix strategy, which in turn allows the company to manage a wide variety of demographic-specific products or services. Alternatively, a company that demonstrates a low-cost strength (producing products cheaper than the competition) benefits from employing a structural or bureaucratic strategy to streamline operations.

Identifying External Factors

In considering organizational design relative to the environment, managers may find it helpful to employ two specific frameworks to identify external factors and internal strengths and weaknesses:

SWOT analysis: In this particular model, a company’s strengths and weaknesses are assessed in the context of the opportunities and threats in the business environment. A SWOT analysis enables a company to identify the ideal structure to maximize its internal strengths while capturing external opportunities and avoiding threats.
Porter’s five-forces analysis: This analysis identifies factors of the industry’s competitive environment that may substantially influence a company’s strategic design. The five forces include power of buyers, power of suppliers, rivalry (competition), substitutes, and barriers to entry (how difficult it is for new firms to enter the industry). Understanding these varying forces gives the company an idea of how adaptable or fixed the organizational structure should be to capture value.

Porter’s five-forces model

Porter’s five-forces analysis identifies five environmental factors that can influence a company’s strategic design: power of buyers, power of suppliers, competition, substitutes, and barriers to entry.

Smaller, more agile companies tend to thrive better in uncertain or constantly changing markets, while larger, more structured companies function best in consistent, predictable environments. Understanding these tools and frameworks alongside the varying external forces that act upon a business will allow companies to make strategic organizational decisions that optimize their competitive strength.

2.4.2: Considering Company Size

The size and operational scale of a company is important to consider when identifying the ideal organization structure.

Learning Objective

Explain how the size of a company helps determine the organizational structure that optimizes operational efficiency and managerial capacity

Key Points

Company size plays a substantial role in determining the ideal structure of the company: the larger the company, the greater need for increased complexity and divisions to achieve synergy.
Companies may adopt any of six organizational structures based on company size and diversity in scope of operations: pre-bureaucratic, bureaucratic, post-bureaucratic, functional, divisional, and matrix.
Smaller companies function best with pre-bureaucratic or post-bureaucratic structures. Pre-bureaucratic structures are inherently adaptable and flexible and therefore particularly effective for small companies aspiring to expand.
Larger companies usually achieve higher efficiency through functional, bureaucratic, divisional, and matrix structures (depending on the scale, scope, and complexity of operations).
Understanding the varying pros and cons of each structure will help companies to plan their organization design and structure in a way that optimizes resources and allows for growth.

Key Terms

economies of scope: Strategies of incorporating a wider variety of products or services to capture value through the ways in which they interact or overlap.
Homogeneous: Having a uniform makeup; having the same composition throughout.
economies of scale: Processes in which an increase in quantity will result in a decrease in average cost of production (per unit).

Company Size and Organizational Structure

Organizational design can be defined narrowly as the strategic process of shaping the organization’s structure and roles to create or optimize competitive capabilities in a given market. This definition underscores why it is important for companies to identify the factors of the organization that determine its ideal structure—most specifically the size, scope, and operational initiatives of the company.

Company size plays a particularly important role in determining an organization’s ideal structure: the larger the company, the greater the need for increased complexity and divisions to achieve synergy. The organizational structure should be designed in ways that specifically optimize the effort and input compared to output. Larger companies with a wider range of operational initiatives require careful structural considerations to achieve this optimization.

Types of Organizational Structure

Companies may adopt one of six organizational structures based upon company size and diversity of scope of operations.

Pre-bureaucratic

Ideal for smaller companies, the pre-bureaucratic structure deliberately lacks standardized tasks and strategic division of responsibility. Instead, this is an agile framework aimed at leveraging employees in any and all roles to optimize competitiveness.

Bureaucratic

A bureaucratic framework functions well in large corporations with relatively complex operational initiatives. This structure is rigid and mechanical, with strict subordination to ensure consistency across varying business units.

Post-bureaucratic

This structure is a combination of bureaucratic and pre-bureaucratic, where individual contribution and control are coupled with authority and structure. In this structure, consensus is the driving force behind decision making and authority. Post-bureaucratic structure is better suited to smaller or medium-sized organizations (such as nonprofits or community organizations) where the importance of the decisions made outweighs the importance of efficiency.

Functional

A functional structure focuses on developing highly efficient and specific divisions which perform specialized tasks. This structure works well for large organizations pursuing economies of scale, usually through production of a large quantity of homogeneous goods at the lowest possible cost and highest possible speed. The downside of this structure is that each division is generally autonomous, with limited communication across business functions.

Divisional

A divisional structure is also a framework best leveraged by larger companies; instead of economies of scale, however, they are in pursuit of economies of scope. Economies of scope simply means a high variance in product or service. As a result, different divisions will handle different products or geographic locations/markets. For example, Disney may have a division for TV shows, a division for movies, a division for theme parks, and a division for merchandise.

Matrix

A matrix structure is used by the largest companies with the highest level of complexity. This structure combines functional and divisional concepts to create a product-specific and division-specific organization. In the Disney example, the theme park division would also contain a functional structure within it (i.e., theme park accounting, theme park sales, theme park customer service, etc.).

Strategic Organizational Design

Structure becomes more difficult to change as companies evolve; for this reason, understanding which specific structure will function best within a given company environment is an important early step for the management team. Smaller companies function best as pre-bureaucratic or post-bureaucratic; the inherent adaptability and flexibility of the pre-bureaucratic structure is particularly effective for small companies aspiring to expand. Larger companies, on the other hand, achieve higher efficiency through functional, bureaucratic, divisional, and matrix structures (depending on the scale, scope, and complexity of operations).

McDonald’s fast-food restaurants departmentalize varying elements of their operation to optimize efficiency. This structure is divisional, meaning each specific company operation is segmented (for example, operations, finance/accounting, marketing, etc.).

2.4.3: Considering Technology

Technology impacts organizational design and productivity by enhancing the efficiency of communication and resource flow.

Learning Objective

Recognize the intrinsic structural value of the ever-evolving technological environment

Key Points

Organizations use technological tools to enhance productivity and to initiate new and more efficient structural designs for the organization. These uses of technology become potential sources of economic value and competitive advantage.
An example of an organizational structure emerging from newer technological trends is what some have called the “virtual organization,” which connects a network of organizations via the internet.
A network structure is another kind of organizational structure that is heavily reliant upon technology for communication.
More traditional organizational structures also benefit greatly from the advance of technology. Managers can communicate and delegate much more effectively through using technologies such as email, calendars, online presentations, and other virtual tools.

Key Terms

supply chain: A system of organizations, people, technology, activities, information, and resources involved in moving a product or service from the supplier to the customer.
network: Any interconnected group or system.

Organizational design can be defined narrowly as the strategic process of shaping an organization’s structure and roles to create or optimize capabilities for competition in a given market.

Technology is an important factor to consider in organizational design. Modern organizations can be treated as complex and adaptive systems that include a mix of human and technological interactions. Organizations can utilize technological tools to enhance productivity and to initiate new and more efficient structural designs for the organization, thereby adding potential sources of economic value and competitive advantage.

Technology

Technology has opened doors to incorporating new and advanced forms of organizational design. This is most notably seen through rapid global communications and the ability to constantly and economically be in contact.

Technological Organizational Structures

An example of an organizational structure that has emerged from newer technological trends is what some have called the “virtual organization,” which connects a network of organizations via the internet. Over the internet, an organization with a small core can still operate globally as a market leader in its niche. This can dramatically reduce costs and overhead, remove the necessity for an expensive office building, and enable small, dynamic teams to travel and conduct work wherever they are needed.

A similar organizational design that is heavily reliant upon technological capabilities is the network structure. While the network structure existed prior to recent technologies (i.e., affordable communications via internet, cell phones, etc.), the existence of complex telecommunications networks and logistics technologies has greatly increased the viability of this structure.

Technology and Traditional Structures

Technology can also affect other longstanding elements of an organization. For example, information systems allow managers to take a much more analytic view of their businesses than before the advent of such systems. Managers can communicate and delegate much more effectively through using technologies such as email, calendars, online presentations, and other virtual tools.

Technology has also impacted supply chain management—the management of a network of interconnected businesses involved in the provision of product and service packages required by the end customers in a supply chain. Supply chain management now has the capacity to track, forecast, predict, and refine the outbound logistics, contributing to a wide variety of logistical advantages (such as minimizing costs from warehousing, fuel, negative environmental impacts, or packaging).

Technology simplifies the process of managing reports, collecting communications, and keeping in touch, enabling management in more formal structures to take on more workers. Increases in technology have essentially allowed organizations to scale up their companies through more effective and efficient teams.

2.4.4: Considering the Organizational Life Cycle

The life cycle of an organization is important to consider when determining its overall design and structure.

Learning Objective

Describe the way in which life cycles influence an organization’s overall design and structure

Key Points

From an organizational perspective, the “life cycle” can refer to various factors such as the age of the organization, the maturation of a particular product or process, or the maturation of the broader industry.
In organizational ecology, the idea of age dependence is used to examine how an organization’s risk of mortality relates to its age. Richard L. Daft outlines different patterns of age dependence in his four stages model.
The idea of the Enterprise Life Cycle in enterprise architecture argues for a life cycle concept as an overarching design strategy—a dynamic, iterative process of changing the enterprise over time by incorporating, maintaining, and disposing of new and existing elements of the enterprise.
Companies must understand clearly where they are in their life cycle and what influence this will have on their optimal organizational structure.

Key Terms

life cycle: The useful life of a product or system; the developmental history of an individual, group or entity.
assessment: An appraisal or evaluation.
strategy: A plan of action intended to accomplish a specific goal.

Organization design can be defined narrowly as the strategic process of shaping organizational structure and roles to create or optimize capabilities for competition in a given market. The life cycle of an organization, industry, and/or product can be an important factor in organization design.

The life cycle of a business

Organizations must always be striving to sustain their position in a given competitive environment. This often requires structural evolution and rapid iterations in the feedback loop of disruption, growth, refinement, and renewal.

Overview of the Life Cycle

From an organizational perspective, “life cycle” can refer to various factors such as the age of the organization itself, the maturation of a particular product or process, or the maturation of the broader industry. In organizational ecology, the idea of age dependence is used to examine how an organization’s risk of mortality relates to the age of that organization. Generally speaking, organizations go through the following stages:

Birth
Growth
Maturity
Decline
Death

The Enterprise Life Cycle

The Enterprise Life Cycle is a model that underlines the way in which organizations remain relevant. The Enterprise Life Cycle is the dynamic, iterative process of changing an enterprise over time by incorporating new business processes, technologies, and capabilities, as well as maintaining, using, and disposing of existing elements of the enterprise.

Richard L. Daft’s Four Stages

Richard L. Daft theorized four stages of the organizational life cycle, each with critical transitions:

Entrepreneurial stage → Crisis: Need for leadership
Collectivity stage → Crisis: Need for delegation
Formalization stage → Crisis: Too much red tape
Elaboration stage → Crisis: Need for revitalization

Structural Implications of the Life Cycle

The life cycle of an organization is important to consider when making decisions about the organization’s structure and design. Richard L. Daft’s model underlines critical problems within each stage of an organization’s life cycle that can often be solved through intelligent structural design.

Daft first notes that the entrepreneurial (or startup) stage of an organization requires leadership. In this situation, decision-making must be enabled and bureaucracy should be minimized. This lends itself well to pre-bureaucratic stuctures in which everyone involved is empowered to take the reins and employ their creativity and innovation.

In the collectivity stage, momentum has been created and expansion is required. This is where functional or divisional strategies may begin to emerge, enabling managers to build teams and delegate tasks.

Companies continue to expand in the formalization stage, requiring increased bureaucracy and more levels of authority to approve a given decision. In this stage they grow large enough to accommodate functional, divisional, or even matrix structures in order to produce at scale. Organizations in this stage must be careful not to fall too strongly into rigid structures that inhibit or disrupt efficiency, communication, or decision-making.

The Enterprise Life Cycle comes strongly into play in the elaboration stage. During this stage the organization must retain its relevance in the industry through reinforcing competitive advantages and/or creating new products to fill changing consumer needs. This requires a great deal of organized creativity and exploration of new markets, which may justify team or divisional structures within the broader organizational structure. Such structures allow small teams to experiment and react quickly as they try new entrepreneurial strategies while the larger organization maintains operative efficiency in established markets.

2.5: Trends in Organization

2.5.1: Flattening Hierarchies

Flattening hierarchies can benefit smaller organizations by increasing employee empowerment, participation, and efficiency.

Learning Objective

Define a flattened hierarchy, specifically in which situations where the utilization of this model is appropriate and beneficial for an organization

Key Points

A hierarchy can link entities either directly or indirectly; it can also link entities either vertically or horizontally. The only direct links in a hierarchy are to a person’s immediate superior or subordinates.
The flat organization model essentially “flattens” the hierarchy and promotes employee involvement through a decentralized decision-making process.
According to the logic behind this model, well-trained workers will be more productive when they are directly involved in the decision-making process rather than closely supervised by many layers of management.
Flat organizations are most relevant in specific scenarios—most notably small organizations that are dependent upon creativity, freedom of action, and high-powered employees.

Key Term

hierarchy: An arrangement of items in which each item is represented as being above, below, or at the same level as other items.

Links within Hierarchies

Hierarchies can be linked in several different ways. A hierarchy can link entities either directly or indirectly; it can also link entities either vertically or horizontally. The only direct links in a hierarchy are to a person’s immediate superior or subordinates. Parts of the hierarchy that are not linked vertically to one another can be horizontally linked through a path by traveling up the hierarchy; this path eventually reaches a common direct or indirect superior and then travels down the hierarchy again. An example of this would be two colleagues who each report to a common superior but have the same relative amount of authority in the organization.

Flat Hierarchies

Flat (or horizontal) organizational structures have few or no levels of intervening management between staff and managers. This “flattened” hierarchy promotes employee involvement through a decentralized decision-making process. The idea is that well-trained workers will be more productive when they are directly involved in the decision-making process rather than closely supervised by many layers of management.

Flat organization chart

This diagram illustrates the structure of a flat organization: there is no low- or mid-level management—just one manager and the rest of the staff.

Advantages of Flattened Hierarchies

Flat structures empower each individual within the company to be involved in decision-making processes. This allows for a great deal of creative discussion and operational diversity and tends to create great variance in new ideas. By elevating the level of responsibility of baseline employees and eliminating layers of middle management, comments and feedback can quickly reach all personnel involved in decisions. Response to customer feedback can be carried out more rapidly.

This type of structure generally works best in smaller organizations or individual units within larger organizations. Start-up companies, “mom and pop shops,” and other small independent businesses are the most common examples of a flat structure.

Disadvantages of Flattened Hierarchies

Flat organizations are difficult to maintain as companies grow larger and more complex. When organizations reach a critical size, they can retain a streamlined structure; however, they cannot keep a completely flat manager-to-staff hierarchy without impacting productivity. Certain financial responsibilities may also require a traditional hierarchical structure. While the flat structure can foster employee empowerment, involvement, and creativity, it can also create inefficiency in decision-making processes. Some theorize that flat organizations become more traditionally hierarchical when they gear themselves more toward productivity.

Because the interaction between workers is more frequent, this organizational structure generally depends on a more personal relationship between workers and managers. As a result, the structure can be more time-consuming to build than a traditional hierarchical model.

2.5.2: Decentralizing Responsibility

In decentralized structures, responsibility for decision making is broadly dispersed down to the lower levels of an organization.

Learning Objective

Compare and contrast centralization and decentralization of responsibility within the organizational hierarchy

Key Points

Decentralization is the process of dispersing decision making authority among the people, citizens, employees, or other elements of an organization or sector.
A decentralized organization shows fewer tiers in the organizational structure, a wider span of control, and a bottom-to-top flow of ideas and decision making.
The bottom-to-top flow of information allows lower-level employees to better inform the officials of the organization during any decision making processes.
When companies decentralize authority, however, there can be confusion as to how final decisions are made.

Key Terms

governance: Accountability for consistent and cohesive policies, processes, and decision rights.
authority: The power to enforce rules or give orders.
mechanistic organization: A bureaucratic structure.

Decentralization is the process of dispersing decision making authority among the people, citizens, employees, or other elements of an organization or sector. In decentralized structures, responsibility for decision making and accountability are broadly dispersed down to the lower levels of an organization. This dispersion can be intentional or unintentional. A decentralized organization tends to show fewer tiers in its organizational structure (less hierarchy), a wider span of control, and a bottom-to-top or horizontal flow of decision making and ideas.

Decentralization

The management structure in a decentralized organization changes from a top-down approach to more of a peer-to-peer approach.

Contrasting Centralized and Decentralized Structures

In a centralized organization, decisions are made by top executives on the basis of current policies. These decisions or policies are then enforced through several tiers of hierarchy within the organization, gradually broadening the span of control until they reach the bottom tier.

In a decentralized organization, the top executives delegate much of their decision making authority to lower tiers of the organizational structure. This type of structure tends to be seen in organizations that run on less rigid policies and wider spans of control among each officer of the organization. The wider spans of control also reduce the number of tiers within the organization, giving its structure a flat appearance .

Decentralized organizational chart

This image illustrates a decentralized (often referred to as a “flat”) organizational chart. Note that there are not multiple layers of management; there is one manager and then the rest of the staff. This means that each staff-person necessarily has more responsibility and therefore more autonomy.

Advantages of Decentralization

One advantage of this structure—if the correct controls are in place—is the bottom-up flow of information. This flow allows lower-level employees to better inform the officials of the organization during any decision making processes. For example, if an experienced technician at the lowest tier of an organization knows how to increase the efficiency of the production, the bottom-to-top flow of information can allow this knowledge to pass up to the executive officers.

Disadvantages of Decentralization

On the other side of the argument, when companies decentralize authority there can be confusion as to how final decisions are made. It can be difficult to empower multiple people without certain decisions negatively interacting with other decisions. Decentralized organizations must be mindful of the possibility of running in too many different directions at once. Because of this, decentralization is most effective in organizations that have transparent strategies, a strong mission, and a clear vision.

2.5.3: Increasing Empowerment

Modern organizations are more aware of the value of empowered employees and actively strive to structurally increase empowerment.

Learning Objective

Discuss the advantages of empowerment in an organization, and how organizational structure can improve upon the promotion of empowered employees

Key Points

Empowerment is a process that enables individuals and groups to fully access their personal and collective power, authority, and influence, and to employ this power when engaging with other people, other institutions, or society.
Leaders within an organization can play a strong role in encouraging employees to put empowerment into practice.
To enable empowerment, managers can share information, provide employees with autonomy, and migrate to self-managed teams when possible.
Though the idea of empowerment can produce successful results, it is important to understand the risks. More decision-makers means more discussion about how a process should be accomplished and more moving parts within the organization, increasing complexity.

Key Term

empowerment: The accessing and employing of political, social, or economic power by an individual or group.

Defining Empowerment

Empowerment is a process that enables individuals and groups to fully access personal and collective power and employ this power when engaging with other people, other institutions, or society. Empowerment does not give people power; rather, it helps to release and express the power that people already have.

Empowerment encourages people to gain the skills and knowledge that allows them to overcome obstacles in life and work. This will ultimately enable personal development and a deeper sense of professional fulfillment. Empowering people in organizations can encourage more confident, capable, and motivated employees. Organizations are increasingly aware that empowerment often leads to better performance and higher operational efficiency, and there is a general trend toward structuring organizations for empowerment.

Empowerment within the Organization

Empowering employees in the workplace means providing them with opportunities to make their own decisions related to their tasks. This can be a powerful and positive aspect within an organization that promotes shared power and enables checks and balances in decision-making processes.

Empowerment in organizations includes:

Making decisions about personal and collective circumstances;
Accessing information and resources for decision-making;
Considering a range of options from which to choose (and understanding the options rather than just deciding yes or no);
Exercising assertiveness in collective decision-making;
Employing positive thoughts toward the ability to make change;
Learning and accessing skills for improving personal and collective circumstances; and
Informing others’ perceptions though exchange, education, and engagement.

Though the idea of empowerment can produce very successful results, there are certain risks are involved. When turning responsibility over to others, it is important to keep in mind that diversifying power creates more voices and therefore potentially more conflict and discussion. All of these elements can slow down the decision-making process. As organizations move toward higher levels of empowerment, protocols should be put in place to mitigate failure and improve decision-making efficiency across the board.

Decentralization

One key technique of empowering employees and providing autonomy is decentralizing the organizational structure. Notice how the diagram of the centralized organization looks like one large asterisk with many spokes, whereas the diagram of the decentralized organization looks like many small interconnected asterisks.

Increasing Empowerment

Leaders within an organization can encourage employees to put empowerment into practice in several ways. If leaders want to tap into the possibilities of an empowerment-based company, they need to have confidence in employees. Employees should also be given opportunities to make their own decisions and succeed. For an empowerment-based organization, rules and policies that interfere with self-management should be made more lenient. Leaders should also set goals that can inspire people.

The following are three key concepts that leaders can use to empower employees throughout an organization:

Share information with everyone. By sharing information with everyone, leaders gain a clear picture of the company and its current situation. Allowing all employees to view company information helps to build trust between employers and employees. This also provides decision-makers with important perspectives to assess prior to deciding.
Create autonomy through boundaries. By opening communication through information sharing, space can be created for feedback and dialogue about what holds people back from being empowered. It is critical that leaders minimize micro-management so that employees, who are specialists at the function they are assigned, can set the tone for how a particular task is accomplished.
Replace the old hierarchy with self-managed teams. By replacing the old hierarchy with self-managed teams, more responsibility is placed upon unique and self-managed teams; this can lead to better communication, diversity of strategies, and higher performance.

The success of the modern organization relies heavily on understanding the complexity of a diverse global market. Leveraging employee knowledge and enabling autonomy is increasingly important in capturing value and attaining competitive advantages in this complex business environment.

2.5.4: Increasing Adaptation

In order to succeed, modern organizations must constantly adapt to evolving technologies and expanding global markets.

Learning Objective

Identify the importance and inherent value of increasing adaptation within company structures and performance

Key Points

Technological advances, global market expansions, and the potential for constant (sometimes disruptive) innovation all point to the need for organizations to be adaptive.
Blockbuster and Netflix provide a classic example: in this case, Blockbuster was simply too slow to adapt to the demand for live-streaming videos.
If an organization takes on the identity of a growing, adapting, and learning organization, these qualities become part of the fabric of how it operates.
Implementing an adaptable strategy may have effects that ripple across an organization. Minimizing disruption can reduce costs and save time.
Resistance to change is considered a major obstacle to creating effective adaptability in an organization. Integrating changes step by step while utilizing focus groups and training sessions can improve the efficacy of adaptation.

Key Term

adaptation: Adjustment to extant conditions; modification of a thing or its parts in a way that makes it more fit for existence under the conditions of its current environment.

The Importance of Adaptation

Organizational adaption is becoming increasingly relevant to both strategy and structure as the business environment changes more quickly each year. Technological innovations, global market expansions, and the potential for constant (sometimes disruptive) innovation all point to the need for organizations to be adaptive.

There are a number of examples in which some organizations have adapted to new technologies or global competition, while others have failed to adapt and subsequently gone under. Blockbuster and Netflix provide a classic example: in this case, Blockbuster was simply too slow to adapt to the demand for live-streaming videos. Netflix, on the other hand, embraced this technological evolution and pioneered a user-friendly interface, gaining the company enormous value.

Increasing Adaptation

Strategic management largely pertains to adapting an organization to its business environment. The greatest agent for organizational change is the socialization aspect of culture, which can be empowered structurally. If an organization takes on the identity of a growing, adapting, and learning organization, these qualities become part of the fabric of how it operates. Knowing how and being able to increase this adaptability is important to organizational success.

Implementing a strategy of adaptation may have effects that ripple across an organization. Increasing an organization’s ability to adapt to change and minimize disruption can reduce costs and save time. One approach for increasing adaptation is to appoint an individual to champion the changes, address and eventually enlist opponents, and proactively identify and mitigate problems.

Challenges in Adaptation

Resistance to change is considered a major obstacle to creating effective adaptability in an organization. Organizational change can lead to loss of stability and—if this instability becomes great enough—loss of organizational effectiveness.

Organizational loss of effectiveness (LOE)

Organizational change can cause a loss of stability and results in the development of a predictable and measurable set of symptoms within an organization. When a significant number of these symptoms are present simultaneously, an organizational loss of effectiveness (LOE) will occur (Grady, 2005).

The following are methods that can be employed to help an organization and its staff to cope with change:

Form focus groups. Staff from different departments can be selected to form focus groups, where quality data can be collected. In focus group discussions, staff should be given the chance to freely express their opinions and share their experiences.
Provide training. Providing training courses to staff on new processes or structures can help to increase staff competence and reduce their resistance to change.
Implement changes step by step. This involves first implementing the system in small groups—such as several departments or sections—and then widening the scope of implementation. This step-by-step approach can help by exposing problems raised simultaneously across the small groups and providing management with sufficient time to solve these problems before implementing the system across the organization.

2.5.5: Moving to Flexible Work Schedules

Employers can offer flexible working arrangements in the form of flextime and telecommuting work.

Learning Objective

Identify critical factors of success in creating a “telework” organization

Key Points

Companies have begun to recognize how important a healthy work-life balance is to the productivity and creativity of their employees. Integrating new technologies for flexible schedules is a great opportunity to capture this value.
Flextime and telecommuting (telework) are popular strategies that enable employees to set their own schedules and work from wherever is most convenient for them.
In addition to supporting the required incremental technologies, a well-functioning telework organization needs a management system that is at least as effective as that of a traditional organization.
Management teams face additional issues such as how to supervise employees who are often out of the office, how to monitor staff productivity with less personal interaction, how to build a strong virtual team, and how to maintain relationships between remote employees.

Key Term

telecommute: To work from home, sometimes for part of a working day or week, using a computer connected to the employer’s network or via the internet.

Companies have begun to recognize how important a healthy work-life balance is to the productivity and creativity of their employees. Research by Kenexa Research Institute in 2007 showed that employees who were more favorable toward their organization’s efforts to support work-life balance also indicated a lower intent to leave the organization, greater pride in their organization, a willingness to recommend the organization as a place to work, and higher overall job satisfaction.

Employers can offer a range of different programs and initiatives that support such a work-life balance. Flexible working arrangements such as flextime and telecommuting work are becoming increasingly popular. More proactive employers can also provide compulsory leave, implement strict maximum hours, or foster an environment that encourages employees not to continue working after hours.

Telecommuting

Telecommuting (or telework) is a work arrangement in which employees do not commute to a central place of work. A person who telecommutes is known as a “telecommuter,” “teleworker,” or “home-sourced employee.” Many telecommuters work from home while others—sometimes called “nomad workers”—use mobile telecommunications technology to work from coffee shops or other locations. This allows employees the flexibility of adapting their work schedule to their living situation.

This arrangement is also quite popular in circumstances of sick leave, pregnancy, parenting, and other important life events. In the past these events could have resulted in temporary loss of employment. Being able to work from anywhere with an internet connection is a modern luxury that adaptable companies should be well aware of.

Home office

This small office is designed for telecommuting.

Flextime

Flextime (also called flexitime or flexi-time) is a variable work schedule, unlike traditional work arrangements in which employees work a standard 9 a.m. to 5 p.m. shift. In this arrangement, there is typically a core period of approximately 50% of the total working day when employees are expected to be at work (for example, between 11 a.m. and 3 p.m.). The rest of the working day is “flextime” in which employees can choose when they work. Employees are still required to complete the necessary work and achieve total daily, weekly, or monthly hours in the region of what the employer expects.

A flextime policy allows staff to determine when they will work, and a flexplace policy allows staff to determine where they will work. These strategies allow employees to adapt their work hours based on public transport schedules, child-care responsibilities, rush-hour traffic, and other elements.

Establishing a Telework Organization

In addition to supporting the required incremental technologies, a well-functioning telework organization needs a management system that is at least as effective as that of a traditional organization. Management teams face additional issues such as how to supervise employees who are often out of the office, how to monitor staff productivity with less personal interaction, how to build a strong virtual team, and how to maintain relationships between remote employees.

Some suggested best practices for maintaining a successful telework organization include:

Develop a daily schedule. Setting a standardized daily schedule can help remote teleworkers feel as though they are really at work. It can also make it easier for supervisors to monitor staff activities and can lead to increased productivity.
Establish milestone dates. Milestone dates help keep projects on track and make it easier to spot problems while there is still time to effectively deal with them.
Encourage social networking. Employee surveys show that being able to keep in touch and communicate with colleagues despite physical distance can boost employee satisfaction and encourage top talent to stick around.
Address problems right away. Respond to problems immediately even if they are reported by email or text message. This will prevent teleworkers from feeling isolated.
Design key performance indicators (KPIs) for remote workers. These KPIs can also be used to measure the effectiveness of in-office staff and maintain an equivalence among the distinct employee categories.
Start workdays by holding a five-minute team video-conference. This helps supervisors to maintain a regular check-in routine; it also enables employees to catch up on team work progress and feel connected to the whole organization.
Manage by observation. A successful telework or telecommuting program requires a management style that is results-oriented (as opposed to task-oriented). This is referred to as management by objectives as opposed to management by observation.

2.5.6: Increasing Coordination

Increasing coordination helps organizations to maintain efficient operations through communication and control.

Learning Objective

Identify the way in which effective coordination across an organization can be increased through effective structure and good management

Key Points

Coordination is a managerial function in which different activities of the business are properly adjusted and interlinked.
The management team must pay special attention to issues related to coordination and governance and be able to improve upon coordination through effective management.
Managers should strengthen communication across all facets of the organization to increase the level of integration between each moving part.
If there is a lack of coordination, there is a risk that responsibility will become dispersed and tasks will be left unclaimed. Organizing accountability for every task helps to ensure that efforts are tangibly coordinated.

Key Terms

division: A section of a large company.
margin: A permissible difference; allowing some freedom to move within limits.
centralization: The act or process of combining or reducing several parts into a whole.

Defining Coordination

Coordination is the act of organizing and enabling different people to work together to achieve an organization’s goals. It is a managerial function in which different activities of the business are properly adjusted and interlinked.

Employees within the functional divisions of an organization tend to perform a specialized set of tasks, such as engineering. This leads to operational efficiency within that group. However, it can also lead to a lack of communication between various functional groups within an organization, rendering the organization slow and inflexible .

Organizational structure

This is an example of an organizational structure. At a high level are multiple functional groups, or “modules”—technical, marketing, and intellectual property. The linked working groups (e.g., data coding workgroup, security workgroup, and audio and video compression workgroup) within the technical functional group likely have coordinated functions.

Increasing Coordination

Coordination is simply the managerial ability to maintain operations and ensure they are properly integrated with one another; therefore, increasing coordination is closely related to improving managerial skills. The management team must pay special attention to issues related to coordination and governance and be able to improve upon coordination through effective management.

Increasing coordination internally can be accomplished by keeping all moving parts of the organization on the same page. There are a number of ways to improve upon the coordination of different departments, work groups, teams, or functional specialists. These include creating a well-communicated and accurate mission statement; clearly defining strategic objectives; monitoring and evaluating each functional group; providing company-wide updates and communications from each department; and, wherever possible, promoting cross-departmental meetings and projects. While this list is long and complex, the underlying concept is relatively simple: managers should strengthen communication across all facets of the organization to increase the level of integration between each moving part.

Structural Implications

In practice, coordination involves a delicate balance between centralization and decentralization. However, maintaining coordination does not necessarily imply that decision-making processes are centralized or that actions are carried out without the support of employees. Put simply, it is important to ensure that there is a person or team in place that takes responsibility for general tasks.

If there is a lack of coordination, there is a risk that responsibility will become dispersed and tasks will be left unclaimed. Organizing accountability for every task helps to ensure that efforts are tangibly coordinated and provides structure to operational expectations. Structure is a central determinant of effective coordination across an organization as it enables communications, underlines responsibilities, and provides concrete authority in decision-making.

Chapter 1: Introduction to Management

1.1: Principles of Management

1.1.1: Defining Management

Management is the act of engaging with an organization’s human talent and its resources to accomplish desired goals and objectives.

Learning Objective

Outline the theoretical scope and basic function that represent managerial responsibilities within a company

Key Points

Management comprises planning, organizing, staffing, leading/directing, and controlling an organization (a group of one or more people or entities) or effort for the purpose of accomplishing a goal.
In for-profit work, the primary function of management is meeting the needs of various stakeholders of the organization, such as customers, debtors, and owners.
In the public sector of countries that are representative democracies, voters elect politicians to public office, who then hire managers and administrators to oversee the everyday responsibilities that support those elected to office.
Since an organization can be viewed as a type of system, managers provide the necessary human action, so the organizational system produces planned outcomes or goals desired by the various stakeholders.

Key Terms

shareholder: Through owning stock, the real owner of a publicly traded business that is run by management.
theoretical: Of or relating to the underlying principles or methods of a given technical skill, art, etc., as opposed to its practice.
stakeholders: Persons or organizations with a legitimate interest in a given situation, action, or enterprise which are directly affected by the organization’s actions.

Overview

Management is the act of engaging with an organization’s human talent and using the physical resources at a manager’s disposal to accomplish desired goals and objectives efficiently and effectively. Management comprises planning, organizing, staffing, leading, directing, and controlling an organization (a group of one or more people or entities) or effort for the purpose of accomplishing a goal.

One of the most important duties for a manager is effectively using an organization’s resources. This duty involves deploying and manipulating human resources (or human capital), as well as efficiently allocating the organization’s financial, technological, and natural resources.

Since organizations can be viewed as systems, management can also be defined as human action, such as product design, that enables the system to produce useful outcomes. This view suggests that we must manage ourselves as a prerequisite to attempting to manage others.

Theoretical Scope

At first, management may be considered as a type of function, one which measures financial metrics, adjusts strategic plans, and meets organizational goals. This applies even in situations where planning does not take place. From this perspective, Henri Fayol (1841–1925) considers management to consist of six functions: forecasting, planning, organizing, commanding, coordinating, and controlling. He was one of the most influential contributors to modern concepts of management.

In another way of thinking, Mary Parker Follett (1868–1933) defined management as “the art of getting things done through people.” She described management as philosophy. Some people, however, find this definition useful but far too narrow. The phrase “management is what managers do” occurs widely, suggesting the difficulty of defining management, the shifting nature of definitions, and the connection of managerial practices with the existence of a managerial cadre or class.

Another perspective regards management as equivalent to “business administration” and thus excludes management in places outside commerce, for example in charities and in the public sector. More realistically, however, every organization must manage its work, people, processes, technology, etc. to maximize effectiveness and accomplish its goals.

Nature of Managerial Work

In the for-profit environment, management is tasked primarily with meeting the needs of a range of stakeholders. This typically involves making a profit (for the shareholders), creating valued products at a reasonable cost (for customers), and providing rewarding employment opportunities (for employees). Nonprofit management has the added importance of attracting and retaining donors.

In most models of management/governance, shareholders vote for the board of directors, and the board then hires senior management. Some organizations have experimented with other methods (such as employee-voting models) of selecting or reviewing managers, but this occurs only very rarely. In the public sector of countries that are representative democracies, voters elect politicians to public office. Such politicians hire managers and administrators.

Several historical shifts in management have occurred throughout the ages. Towards the end of the 20th century, business management came to consist of six separate branches, namely:

Human resource management
Operations management or production management
Strategic management
Marketing management
Financial management
Information technology management (responsible for the management information systems)

Basic Functions

Management operates through various functions, such as planning, organizing, staffing, leading/directing, controlling/monitoring, and motivating.

Planning: Deciding what needs to happen in the future (today, next week, next month, next year, over the next five years, etc.) and generating plans for action.
Organizing: Implementing a pattern of relationships among workers and making optimum use of the resources required to enable the successful carrying out of plans.
Staffing: Job analysis, recruitment, and hiring of people with the necessary skills for appropriate jobs. Providing or facilitating ongoing training, if necessary, to keep skills current.
Leading/directing: Determining what needs to be done in a situation and getting people to do it.
Controlling/monitoring: Checking current outcomes against forecast plans and making adjustments when necessary so that goals are achieved.
Motivating: Motivation is a basic function of management because without motivation, employees may feel disconnected from their work and the organization, which can lead to ineffective performance. If managers do not motivate their employees, they may not feel their work is contributing to the overall goals of the organization (which are usually set by top-level management).

Mary Parker Follett

Mary Parker Follett defined management as “the art of getting things done through people.”

1.1.2: Fulfilling the Organizing Function

Management organizes by creating patterns of relationships among workers, optimizing use of resources to accomplish business objectives.

Learning Objective

Define the organizing function within a business framework, specifically the generation of structure and authority

Key Points

The organizing function typically follows the planning stage. Specific organizing duties involve the assignment of tasks, the grouping of tasks into departments, the assignment of authority, and the allocation of resources across the organization.
Authority is a manager’s formal and legitimate right to make decisions, issue orders, and allocate resources to achieve organization’s objectives. Types of authority include line, functional, and staff.
Organizations will use different structural strategies, which significantly affects the chain of command and decision-making process within an organization. These structures include centralized, decentralized, tall, and flat.
When approaching an organization within a company or institution, it is important to understand the implications of different structures as they pertain to the strategy and operations of the company.

Key Terms

controller: A person who audits and manages the financial affairs of a company or government; a comptroller.
delegation: The act of commiting a task to someone, especially a subordinate.
organizing: To constitute in parts, each having a special function, act, office, or relation.
capital expenditure: Funds spent by a company to acquire or upgrade a long-term asset.

Management and Organization

Management operates through various functions, often classified as planning, organizing, staffing, leading/directing, controlling/monitoring, and motivating. The organizing function creates the pattern of relationships among workers and makes optimal use of resources to enable the accomplishment of business plans and objectives.

The organizing function typically follows the planning stage. Specific organizing duties involve the assignment of tasks, the grouping of tasks into departments, and the assignment of authority and allocation of resources across the organization.

The management process

The management process involves tasks and goals of planning, organizing, directing, and controlling.

Structure

Structure is the framework in which the organization defines how tasks are divided, resources are deployed, and departments are coordinated. It is a set of formal tasks assigned to individuals and departments. Formal reporting relationships include lines of authority, decision responsibility, number of hierarchical levels, and span of managers’ control. Structure is also the design of systems to ensure effective coordination of employees across departments.

Authority/Chain of Command

Authority is a manager’s formal and legitimate right to make decisions, issue orders, and allocate resources to achieve desired outcomes for an organization. Responsibility is an employee’s duty to perform assigned tasks or activities. Accountability means that those with authority and responsibility must report and justify task outcomes to those above them in the chain of command.

Through delegation, managers transfer authority and responsibility to their subordinates. Organizations today tend to encourage delegation from the highest to lowest possible levels. Delegation can improve flexibility to meet customers’ needs and to adapt to competitive environments. Managers may find delegation difficult, since control over the task assigned (and eventual outcome) is relinquished.

One critical risk of command chains is micromanagement, where managers fail to delegate effectively and exercise excessive control over their subordinates’ projects. Micromanagement reduces efficiency and limits autonomy, thus limiting the adaptability of a given organization. Effective chains of command must allow for flexibility and efficient delegation.

Types of Authority (and Responsibility)

Line authority: Managers have the formal power to direct and control immediate subordinates executing specific tasks within a chain of command, usually within a specific department. The superior issues orders and is responsible for the result; the subordinate obeys and is responsible only for executing the order according to instructions.
Functional authority: Managers have formal power over a specific subset of activities that include outside departments. For instance, a production manager may have the line authority to decide whether and when a new machine is needed, but a controller with functional authority requires that a capital expenditure proposal be submitted first, showing that the investment in a new machine will yield a minimum return. The legal department may also have functional authority to interfere in any activity that could have legal consequences. For example, a purchase contract for a new machine cannot be approved without a review of the machine’s safety standards.
Staff authority: Staff specialists manage operations in their areas of expertise. Staff authority is not real authority because a staff manager does not order or instruct but simply advises, recommends, and counsels in the staff specialists’ area of expertise; the manager is responsible only for the quality of the advice (in line with the respective professional standards, etc.). Staff authority represents a communication relationship with management. It has an influence that derives indirectly from line authority at a higher level.

Organizational Structure and Control/Decision-Making

Tall structure: A management structure characterized by an overall narrow span of management, a relatively large number of hierarchical levels, tight control, and reduced communication overhead. Decision-making can be quite rapid, if it occurs from the top down.
Flat structure: A management structure characterized by a wide span of control and relatively few hierarchical levels, loose control, and ease of delegation. Decision-making is often slower, as it involves a high degree of integration across the company.
Centralization: The location of decision making authority near top organizational levels. Similar to a tall structure, this expedites decision-making from the top down.
Decentralization: The location of decision making authority is relatively evenly dispersed across the company. This works well when creativity and independent operations create value for the organization.

As each structure will create a different organizational approach to operations, it is critical to consider how the selection of a structure will affect the business process. Enabling creativity and minimizing control often comes at the cost of speed and efficiency, and vice versa.

1.1.3: Fulfilling the Controlling Function

Management control can be defined as a systematic effort to compare performance to predetermined standards and address deficiencies.

Learning Objective

Outline the characteristics and elements of the controlling function

Key Points

Control is a continuous and forward-looking process designed to objectively benchmark operations with the projected plan or projections.
The four basic elements in a control system are: the characteristic or condition to be controlled, the sensor, the comparator, and the activator.
Control is a continuous process.
Control is a continuous and forward-looking process designed to benchmark operations with the projected plan or projections.

Key Terms

Systematic: Methodical, regular, and orderly.
control: Influence or authority over.
hierarchy: An arrangement of items in which the items are represented as being “above,” “below,” or “at the same level as” one another.

Control

In 1916, Henri Fayol formulated one of the first definitions of control as it pertains to management: “Control consists of verifying whether everything occurs in conformity with the plan adopted, the instructions issued, and principles established. It’s object is to point out weaknesses and errors in order to rectify [them] and prevent recurrence.”

Management control can be defined as a systematic effort by business management to compare performance to predetermined standards, plans, or objectives in order to determine whether performance is in line with these standards. It is also used to determine if any remedial action is required to ensure that human and other corporate resources are being used in the most effective and efficient way possible to achieve corporate objectives.

Control can also be defined as “that function of the system that adjusts operations as needed to achieve the plan, or to maintain variations from system objectives within allowable limits.” The control subsystem functions in close harmony with the operating system. The degree to which they interact depends on the nature of the operating system and its objectives. Stability concerns a system’s ability to maintain a pattern of output without wide fluctuations. Rapidity of response pertains to the speed with which a system can correct variations and return to expected output.

From these definitions, the close link between planning and controlling can be seen. Planning is a process by which an organization’s objectives and the methods to achieve the objectives are established, and controlling is a process that measures and directs the actual performance against the planned goals of the organization. Therefore, goals and objectives are often referred to as the siamese twins of management: the managerial function of management and the correction of performance in order to ensure that enterprise objectives and the goals devised to attain them are being accomplished.

Characteristics of Control

Control has several characteristics. It may be described as being:

A continuous process.
A management process.
Embedded in each level of organizational hierarchy.
Forward-looking.
Closely linked with planning.
A tool for achieving organizational activities.
An end process.

The Elements of Control

The four basic elements in a control system:

The characteristic or condition to be controlled – We select a specific characteristic because a correlation exists between it and how the system is performing. The characteristic may be the output of the system during any stage of processing or it may be a condition that is the result of the system. For example, in an elementary school system, the hours a teacher works or the gain in knowledge demonstrated by the students on a national examination are examples of characteristics that may be selected for measurement, or control.
The sensor – This is the means for measuring the characteristic or condition. For example, in a home-heating system, this device would be the thermostat; and in a quality-control system, this measurement might be performed by a visual inspection of the product.
The comparator – This determines the need for correction by comparing what is occurring with what has been planned. Some deviation from the plan is usual and expected, but when variations are beyond those considered acceptable, corrective action is required. It involves a sort of preventative action to indicate that good control is being achieved.
The activator – This is the corrective action taken to return the system to expected output. The actual person, device, or method used to direct corrective inputs into the operating system may take a variety of forms. It may be a hydraulic controller positioned by a solenoid or electric motor in response to an electronic error signal, an employee directed to rework the parts that failed to pass quality inspection, or a school principal who decides to buy additional books to provide for an increased number of students. As long as a plan is performed within allowable limits, corrective action is not necessary; however, this seldom occurs in practice.

These occur in the same sequence and maintain a consistent relationship to each other in every system.

1.1.4: Fulfilling the Leading Function

Managers lead their organizations and can vary their style and approach to achieve the desired outcome.

Learning Objective

Identify the key characteristics and considerations of the leadership function within the organizational framework

Key Points

Leaders who demonstrate persistence, tenacity, determination, and synergistic communication skills will bring out the same qualities in their groups.
Leadership can be viewed as either individualistic or group-based and can be considered “transactional” (i.e. procedures, rewards, etc.) or “transformational” (i.e. charisma, creativity, etc. ).
A leadership style is often determined by context, whereas the degree of control (autocratic or democratic) may alter based upon the situation or process being managed.
Positive reinforcement is an example of a leadership technique. This reinforcement occurs when a positive stimulus is presented in response to a behavior, increasing the likelihood of that behavior in the future.

Key Term

laissez-faire: In business, an environment in which an organization’s employees are free from excessive oversight or management, with sufficient control only to ensure organizational goals are met.

Defining Leadership

Over the years the philosophical terms “management” and “leadership” have been used both as synonyms and with clearly differentiated meanings. Debate is fairly common about whether the use of these terms should be restricted and generally reflects an awareness of the distinction made by Burns (1978) between “transactional” leadership (characterized by emphasis on procedures, contingent reward, management by exception) and “transformational” leadership (characterized by charisma, personal relationships, creativity). Management is often associated with the former and leadership with the latter.

Leaders who demonstrate persistence, tenacity, determination, and synergistic communication skills will bring out the same qualities in their groups. Good leaders use their own inner mentors to energize their team and organizations and lead a team to achieve success.

Group Leadership

In contrast to individual leadership, some organizations have adopted group leadership. In this situation, more than one person provides direction to the group as a whole. Some organizations have taken this approach in hopes of increasing creativity, reducing costs, or downsizing. Others may see the traditional leadership of a boss as costing too much in team performance. In some situations, the team members best able to handle any given phase of the project become the temporary leaders. Additionally, staff experiences energy and success when each team member has access to elevated levels of empowerment.

Leadership Styles

A leadership style is a leader’s approach towards providing direction, implementing plans, and motivating people. It is the result of the philosophy, personality, and experience of the leader. Rhetoric specialists have also developed models for understanding leadership (Robert Hariman, Political Style; Philippe-Joseph Salazar, L’Hyperpolitique. Technologies politiques De La Domination).

Engaging Style of Leadership

Different styles of leadership can achieve the leading function.

Different situations call for different leadership styles. In an emergency, when there is little time to reach an agreement and where a designated authority has significantly more experience or expertise than the rest of the team, an autocratic leadership style may be most effective. However, in a highly motivated and aligned team, with a homogeneous level of expertise, a more democratic or laissez-faire style may be more effective. The leadership style adopted should be the one that most effectively achieves the objectives of the group while balancing the interests of its individual members.

Positive Reinforcement

Anyone thinking about managing a team must consider positive reinforcement. B.F. Skinner, the father of behavior modification, developed this concept. Positive reinforcement occurs when a positive stimulus is presented in response to a behavior, increasing the likelihood of that behavior in the future.

The following is an example of how positive reinforcement can be used in a business setting. Assume praise is a positive reinforcement for a particular employee. This employee does not show up to work on time every day. The manager of this employee decides to praise the employee for showing up on time when the employee actually does so. As a result, the employee comes to work on time more often because the employee likes to be praised. In this example, praise (the stimulus) is a positive reinforcement for this employee because the employee arrives at work on time (the behavior) more frequently after being praised for it.

The use of positive reinforcement is a successful and growing technique used by leaders to motivate and attain desired behaviors from subordinates. Organizations, such as Frito-Lay, 3M, Goodrich, Michigan Bell, and Emery Air Freight, have all used reinforcement to increase productivity. Empirical research covering the last 20 years suggests that reinforcement theory has a 17% increase in performance. Additionally, many reinforcement techniques, such as the use of praise, are inexpensive and provide higher performance and employee satisfaction for lower costs.

1.1.5: Fulfilling the Planning Function

Planning is the process of thinking about and organizing the activities required to achieve strategic objectives.

Learning Objective

Illustrate the primary considerations and influencing factors for organizations when pursuing strategic planning

Key Points

Planning involves the maintenance and organizational approach of achieving strategic objectives.
To meet objectives, managers may develop plans such as a business plan or a marketing plan.
Strategic planning is an organization’s process of defining its strategy or direction and making decisions about how to allocate its resources to pursue this strategy.
When pursuing strategic planning, organizations should ask themselves what they do, for whom do they do it, and how they can excel (or differentiate from) competitors.
The execution of the planning function requires a comprehensive understanding (or generation of) a vision, mission, set of values, and general strategy.

Key Terms

strategy: A plan of action intended to accomplish a specific goal.
allocating: The act of distributing a given set of resources according to a plan.
forecasting: The act of estimating future outcomes.

Planning

Planning is the process of thinking about and organizing the activities required to achieve a desired goal. Planning involves the creation and maintenance of a given organizational operation. This thought process is essential to the refinement of objectives and their integration with other plans. Planning combines forecasting of developments with preparing scenarios for how to react to those developments. An important, albeit often ignored, aspect of planning is the relationship it holds with forecasting. Forecasting can be described as predicting what the future will look like, whereas planning predicts what the future should look like.

Research planning

Planning involves the creation and maintenance of a plan.

Planning is also a management process, concerned with defining goals for a company’s future direction and determining the missions and resources to achieve those targets. To meet objectives, managers may develop plans, such as a business plan or a marketing plan. The purpose may be achievement of certain goals or targets. Planning revolves largely around identifying the resources available for a given project and utilizing optimally to achieve best scenario outcomes.

Strategic Planning

Strategic planning is an organization’s process of defining its strategy or direction and making decisions about allocating its resources to pursue this strategy. To determine the direction of the organization, it is necessary to understand its current position and the possible avenues through which it can pursue a particular course of action. Generally, strategic planning deals with at least one of three key questions:

What do we do?
For whom do we do it?
How do we excel?

The key components of strategic planning include an understanding of the firm’s vision, mission, values, and strategies. (Often a “vision statement” and a “mission statement” may encapsulate the vision and mission. )

Vision: This outlines what the organization wants to be or how it wants the world in which it operates to be (an “idealized” view of the world). It is a long-term view and concentrates on the future. It can be emotive and is a source of inspiration. For example, a charity working with the poor might have a vision statement that reads “A World without Poverty.”
Mission: It defines the fundamental purpose of an organization or an enterprise, succinctly describing why it exists and what it does to achieve its vision. For example, the charity above might have a mission statement as “providing jobs for the homeless and unemployed.”
Values: These are beliefs that are shared among the stakeholders of an organization. Values drive an organization’s culture and priorities and provide a framework in which decisions are made. For example, “knowledge and skills are the keys to success,” or “give a man bread and feed him for a day, but teach him to farm and feed him for life.” These example values place the priorities of self-sufficiency over shelter.
Strategy: Strategy, narrowly defined, means “the art of the general”—a combination of the ends (goals) for which the firm is striving and the means (policies) by which it is seeking to get there. A strategy is sometimes called a roadmap, which is the path chosen to move towards the end vision. The most important part of implementing the strategy is ensuring the company is going in the right direction, which is towards the end vision.

Tools and Approaches

There are many approaches to strategic planning, but typically one of the following is used:

Situation-Target-Proposal: Situation – Evaluate the current situation and how it came about. Target – Define goals and/or objectives (sometimes called ideal state). Path/Proposal – Map a possible route to the goals/objectives.
Draw-See-Think-Plan: Draw – What is the ideal image or the desired end state? See – What is today’s situation? What is the gap from ideal and why? Think – What specific actions must be taken to close the gap between today’s situation and the ideal state? Plan – What resources are required to execute the activities?

Among the most useful tools for strategic planning is a SWOT analysis (Strengths, Weaknesses, Opportunities, and Threats). The main objective of this tool is to analyze internal strategic factors (strengths and weaknesses attributed to the organization) and external factors beyond control of the organization (such as opportunities and threats).

1.2: Management Levels and Types

1.2.1: Top-Level Management

Top-level managers determine broad strategic strokes for the organization in general, and focus on the big picture.

Learning Objective

Understand the responsibilities and characteristics of top-level management

Key Points

Vertically ordering managerial functions allows managers at different tiers to focus on different ranges or scopes of organizational behavior and strategy.
One of the weaknesses of this type of managerial organization is that it can polarize power and salary, as well as create a rigid structure that reduces information flow.
Top-level managers (such as CEOs) tend to be big-picture strategic thinkers with a substantial amount of experience in the industry and/or function they manage.
The executive team focuses on determining long-term strategy, strategic alliances, large financial decisions, and management of stakeholders (and the board of directors).

Key Term

hierarchical: Ranked in some order, often order of importance or power.

Some views on management revolve around vertical differentiation, or creating an hierarchical view of managers. This is useful to visualize in a chart, where top management is logically at the top, overseeing the entire organization. Middle managers are in the middle, acting as a bridge between upper management and certain work groups. Lower managers are task or process oriented, managing functional specialists and projects.

The Pros and Cons of Vertical Thinking

The primary advantage of this perspective is that different management professionals can view the organization from different angles. Top-level managers tend to focus mostly on strategy and bigger picture thinking, while middle managers focus on aligning a large work group towards shared objectives. Frontline management thrives in pursuing operational efficiency, hiring on entry and mid-level talent, and assessing performance.

On the downside, this tends to consolidate power at the top of the organization, of building steep corporate ladders and often heavily polarized income. It can also create one-way information flows, where top management creates plans without understanding the core processes of the organization. Managing organizations vertically can reduce flexibility and agility.

FedEx Organizational Structure

This is an organizational structure example that cleanly demonstrates a vertical delegation of managerial responsibilities. The higher the level of management, the broader their scope. This means that lower level managers have a high degree of detail-orientation.

This is an organizational structure example which cleanly demonstrates a vertical delegation of managerial responsibilities. The higher the level of management, the broader their scope. This means that lower level managers have a high degree of detail-orientation.

Top-level Management

Core Characteristics

High level managers tend to have a substantial amount of experience, ideally across a wide variety of functions. Many high-level managers become part of an executive team by mastering their functional disciplines across various roles, becoming the Chief Operations Officer (COO), Chief Marketing Officer (CMO), Chief Technology Officer (CIO or CTO), Chief Financial Officer (CFO) or Chief Executive Officer (CEO).

Top management teams are also often industry experts, having a close association with the long term trajectory of the businesses they operate in. They often benefit from being charismatic, powerful communicators with a strong sense of accountability, confidence, integrity, and a comfort with risk.

Responsibilities

The primary role of the executive team, or the top-level managers, is to look at the organization as a whole and derive broad strategic plans. Company policies, substantial financial investments, strategic alliances, discussions with the board, stakeholder management, and other top-level managerial tasks are often high-risk high return decision-making initiatives in nature. Top-level management roles are therefore often high stress and high influence roles within the organization.

1.2.2: Middle-Level Management

Middle management is the intermediate management level accountable to top management and responsible for leading lower level managers.

Learning Objective

Recognize the specific responsibilities and job functions often assigned to middle-level management professionals

Key Points

Middle management is at the center of a hierarchical organization, subordinate to the senior management but above the lowest levels of operational staff.
Middle managers are accountable to top management for their department’s function. They provide guidance to lower-level managers and inspire them to perform better.
Middle-management functions generally revolve around enabling teams of workers to perform effectively and efficiently and reporting these performance indicators to upper management.
Middle management may be reduced in organizations as a result of reorganization. Such changes can take the form of downsizing, “delayering,” and outsourcing.

Key Terms

delayering: A planned reduction in the number of layers of a management hierarchy.
mentoring: Acting as a teacher or guide; providing advice and direction for one less experienced.

Defining Middle Management

Most organizations have three management levels: first-level, middle-level, and top-level managers. These managers are classified according to a hierarchy of authority and perform different tasks. In many organizations, the number of managers in each level gives the organization a pyramid structure.

Middle management is the intermediate leadership level of a hierarchical organization, being subordinate to the senior management but above the lowest levels of operational staff. For example, operational supervisors may be considered middle management; they may also be categorized as non-management staff, depending upon the policy of the particular organization.

Four-tier pyramid: Workers, middle managers, senior managers, and executives

This figure illustrates the hierarchy of management within an IT department. Note that middle management is tasked with (1) their tier of technical skills, i.e. information management systems, as well as (2) communication of system efficacy upward to senior managers and (3) delegating tasks downward to workers.

Middle-Management Roles

Middle-level managers can include general managers, branch managers, and department managers. They are accountable to the top-level management for their department’s function, and they devote more time to organizational and directional functions than upper management. A middle manager’s role may emphasize:

Executing organizational plans in conformance with the company’s policies and the objectives of the top management;
Defining and discussing information and policies from top management to lower management;
Most importantly, inspiring and providing guidance to lower-level managers to assist them in performance improvement and accomplishment of business objectives.

Middle managers may also communicate upward by offering suggestions and feedback to top managers. Because middle managers are more involved in the day-to-day workings of a company, they can provide valuable information to top managers that will help them improve the organization’s performance using a broader, more strategic view.

Middle-Management Functions

Middle managers’ roles may include several tasks depending on their department. Some of their functions are as follows:

Designing and implementing effective group work and information systems
Defining and monitoring group-level performance indicators
Diagnosing and resolving problems within and among work groups
Designing and implementing reward systems
Supporting cooperative behavior
Reporting performance statistics up the chain of command and, when applicable, recommending strategic changes

Because middle managers work with both top-level managers and first-level managers, middle managers tend to have excellent interpersonal skills relating to communication, motivation, and mentoring. Leadership skills are also important in delegating tasks to first-level managers.

Middle management may be reduced in organizations as a result of reorganization. Such changes include downsizing, ‘delayering’ (reducing the number of management levels), and outsourcing. The changes may occur in an effort to reduce costs (as middle management is commonly paid more than junior staff) or to make the organization flatter, which empowers employees, leaving the organization more innovative and flexible.

1.2.3: Frontline Management

Frontline management balances functional expertise with strong interpersonal skills to optimize specific operational processes.

Learning Objective

Recognize the core competencies and common responsibilities of frontline management

Key Points

Management is sometimes viewed through a hierarchical frame, dividing management groups by frontline, middle, and upper levels.
Separating management vertically allows different management groups to focus on different organizational scopes. Frontline managers are more zoomed in, whereas executives are more zoomed out.
Frontline managers often balance a functional or technical understanding of those who report to them with the interpersonal skills of a manager.
This form of leadership requires a strong ability to communicate, mentor, train, hire, organize, optimize processes, and prioritize.

One perspective that can be taken on management is a hierarchical view. Under this perspective, managers are responsible for different degrees of organizational scope, which can be visualized as having responsibility over a larger volume of processes and people. When illustrating this concept, the lower level managers are at the bottom of the chart (often shaped something like a pyramid) while the executives are at the top.

USCG Organization Chart

This is a simple example of an organizational chart, in this case for the U.S. Coast Guard. This is a particularly good example of hierarchical thinking, as the military functions with a high degree of hierarchical authority.

This is a simple example of an organizational chart, in this case the U.S. Coast Guard. This is a particularly good example of hierarchical thinking, as militarizes often function with a high degree of hierarchical authority.

Why Differentiate Management

When looking at different levels of management from a vertical frame, the value of separating management this way essentially allows different amounts of scope. The expression ‘seeing the forest for the trees’ is a particularly useful anecdote for the purpose of the upper managerial teams.

The objective at the top of the hierarchy is to consider mid and long term strategy for the organization at large. Middle managers usually take a more specific aspect of this larger strategy, and ensure a more detailed implementation. Managers on the front line focus almost exclusively on effective execution, and are often much more short-term oriented. This allows each class of management to narrow their focus enough for the work to actually be manageable.

Front Line Management

At the front line, managers are often highly skilled and even functional specialists. A front line manager is best positioned when they focus on controlling and directing specific employees (think in terms of supervisors, team leaders, line managers, and project managers).

Skill Sets

A front line manager needs to have two distinctive skill sets: the interpersonal skills to manage people as well as the technical expertise to be among the front lines actively executing functional tasks. As a result, frontline managers are often highly valuable team members with the versatility to contribute in various ways.

Core skill sets for frontline managers can change depending on what function they are overseeing. However, on the interpersonal side they should be effective at:

Communicating
Observing and actively listening
Giving and receiving feedback
Prioritizing
Aligning resources
Organizing processes and tasks

Responsibilities

Responsibilities of a frontline manager will therefore come in two flavors. The first is the expertise required to do whatever it is they are managing. If we are talking about an accounting manager, they must be able to balance the books and understand enough of everyone’s specific function to fill the gaps. If it is a frontline manager on an automobile manufacturing facility, the manager should be aware of how to run most of the machines and how to assess the productivity of different positions (ideally from experience).

On the managerial side, frontline managers are often tasked with hiring, assessing performance, providing feedback, delegating functional tasks, identifying gaps, maximizing efficiency, scheduling, and aligning teams. As the primary point of contact for most employees, frontline managers must be careful listeners capable of understanding employee needs, removing blockers, and optimizing performance.

1.2.4: Functional vs. General Management

General managers focus on the entire business, while functional managers specialize in a particular unit or department.

Learning Objective

Differentiate between functional management and general management from a business perspective

Key Points

General management focuses on the entire business as a whole (a top-down organizational view).
A functional manager is a person who has management authority over an organizational unit—such as a department—within a business, company, or other organization. Under functional management, direct reports reside in the same department.
A general manager is responsible for all areas and oversees all of the firm’s functions and day-to-day business operations. The general manager has to communicate with all departments to make sure the organization performs well.
General management and functional management have many similarities; the primary difference is that a functional manager focuses on one facet of an organization, while the general manager must keep everything in view.

Key Terms

delegating: Assigning a task to somebody, usually a subordinate.
staffing: The practice of hiring and firing staff.

Functional management and general management represent two differing responsibility sets with an organization. Functional managers are most common in larger organizations with many moving parts, where different business functions are led by managers within those respective fields (i.e. marketing, finance, etc.). General management is more common in smaller, more versatile, environments where the general manager can actively engage in every facet of the business

Functional Management

Besides the heads of a firm’s product and/or geographic units, the company’s top management team typically consists of several functional heads (such as the chief financial officer, the chief operating officer, and the chief strategy officer). A functional manager is a person who has management authority over an organizational unit—such as a department—within a business, company, or other organization. Functional managers have ongoing responsibilities and are not usually directly affiliated with project teams, other than ensuring that goals and objectives are aligned with the organization’s overall strategy and vision.

Functional vs. general management

This chart shows a particular organizational hierarchy employing both general and functional management. Each functional manager is in control of a particular area of expertise—e.g., operations or policy and planning—and the general manager supervises all the functional managers.

General Management

General management focuses on the entire business as a whole. General management duties and responsibilities include formulating policies, managing daily operations, and planning the use of materials and human resources. However, general managers are too diverse and broad in scope to be classified in any one functional area of management or administration such as personnel, purchasing, or administrative services.

General managers include owners and managers who head small-business establishments with duties that are primarily managerial. Most commonly, the term general manager refers to any executive who has overall responsibility for managing both the revenue and cost elements of a company’s income statement. This means that a general manager usually oversees most or all of the firm’s marketing and sales functions, as well as the day-to-day operations of the business. Frequently, the general manager is responsible for effective planning, delegating, coordinating, staffing, organizing, and decision making to attain profitable results for an organization.

While both general and functional management involve similar skills (interpersonal skills, communication, multitasking, etc.), the critical difference is that a functional manager often “zooms in” to one particular aspect of a broader operational paradigm. The general manager must be more of a jack-of-all-trades, understanding enough about various different gears in the machine to ensure it is running properly.

McDonald’s offers an example of ways to understand both types of management. McDonald’s has functional managers at the corporate level who discuss advertising strategies, assess financials, discuss expansion, and so forth. Meanwhile, general managers run individual stores, focusing on the quality of service, operational efficiency, local tastes, etc. at their store.

1.2.5: Management in Different Types of Business: For-Profit, Non-Profit, and Mutual-Benefit

Managers must adjust their management style to fit the type of organization.

Learning Objective

Apply managerial styles within different business types and to accomplish different objectives

Key Points

For-profit corporations are administered to earn profit to increase the wealth of their owners. Managers in for-profit organizations focus on the system and production.
A non-profit organization must dedicate its operations to achieve a charitable or educational goal. A manager must ensure that the organization’s operations are solely dedicated to achieving that goal. A manager of such an organization is not focused on generating profit.
Mutual-benefit corporations are usually formed for non-profit purposes, such as managing a condo association. The managers of such an organization are concerned about improvements in human and environmental well-being rather than maximizing profits for external shareholders.
While all types of organizations are tasked with managing resources efficiently, for-profits and non-profits have differentiated management styles, in many instances, because of differences in motivation (e.g., non-profits must rely on fewer monetary rewards).

Key Terms

mutual-benefit non-profit corporation: A type of nonprofit corporation chartered by a state government that exists to serve its members.
non-profit: An organization that exists for reasons other than to make a profit, such as a charitable, educational, or service organization.
for-profit: An organization engaged in the trade of goods, services, or both to customers with the goal of earning profit to increase the wealth of the business’s owners.

Management style is influenced by the goals and purpose of the organization, which are in large part established by the type of business being managed.

Management in For-Profit Organizations

A for-profit business is an organization engaged in the trade of goods, services, or both to customers with the goal of earning profit to increase the wealth of the business’s owners. Managers have to direct their efforts towards achieving that goal.

Management in Non-Profit Organizations

In contrast, a non-profit organization is legally prohibited from making a profit for owners. All income generated by a non-profit’s activities must be used to achieve the charitable or educational purpose defined in the organization’s bylaws. The managers of non-profits must always be aware of that charitable purpose and ensure that the organization’s operations conform to those purposes.

One component of nonprofit management that contrasts with the for-profit model is the existence of volunteer workers. Non-profits’ lack of free-flowing capital means they rarely have the resources to staff the organization sufficiently. In this scenario, managers often reach out to individuals passionate about the organization’s mission to contribute through monetary donations or volunteer hours. Managing volunteers is different than managing employees, as there is essentially no contract or agreement governing the relationship. This means managers must motivate by community-building and a sense of shared accomplishment.

Management in Mutual-Benefit Organizations

A mutual-benefit non-profit corporation can be non-profit or for profit. However, mutual benefit corporations are usually formed for nonprofit purposes like managing a condo association, a downtown business district, or a homeowners association. A mutual is therefore owned by its members and run for their benefit; it has no external shareholders to pay in the form of dividends, and as such does not usually seek to generate large profits or capital gains. Managers in mutual benefit organizations are, therefore, more concerned about improvements in human and environmental well-being than maximizing profits for external shareholders.

Comparing Management in For-Profit, Non-Profit, and Mutual-Benefit Organizations

The management of all three types of organizations (for-profit, non-profit, and mutual-benefit) may have similar responsibilities, such as drafting a budget and ensuring that the organization generates enough revenue to fulfill its operational needs. Management will need to plan, organize, direct and control the business’s activities. All three types require that management motivate employees.

Management processes

Management styles vary among types of organizations, but they still follow the main steps of planning, organizing, directing, and controlling.

However, the approach managers take will vary based on the type of organization. For example, a manager of a for-profit company may be able to motivate employees through bonuses for sales targets or profit sharing. This strategy cannot work for a non-profit or mutual-benefit corporation. In those cases, management must either appeal to the employees’ sense of duty to the mission of the non-profit or to the benefit they would receive from a well-run mutual-benefit corporation. While every organization poses different challenges, effective managers consider the type of organization and adjust their style to fit those circumstances.

1.3: Core Requirements of Successful Managers

1.3.1: The Importance of Accountability

Being accountable simply means being responsible for decisions made, actions taken, and assignments completed.

Learning Objective

Discuss the role accountability plays in driving managerial performance.

Key Points

Accountability in business is critical, as the concept enhances the ethics of managers.
Being accountable means standing by decisions, actions, and the overall well-being of projects.
Accountability is also a management process that ensures employees answer to their superior for their actions and that supervisors behave responsibly as well.
Accountability addresses both the organization’s expectation of the employee and the employee’s expectation of the organization.
Accountable employees help to increase performance of business as a whole and to maintain a positive company culture, vision, and ethics.
Accountability on a global scale, particularly in the case of NGOs, is complicated by the fact that different countries have varying legislative perspectives when it comes to accountability.

Key Terms

accountability: Being responsible for one’s own work and answering for the repercussions of one’s own actions.
paradigmatic: Pertaining to a given template, context or model.

Example

The United States Department of Organization provides specific guidelines for managerial accountability. Managers are responsible for the quality and timeliness of program performance, for increasing productivity, for controlling costs and mitigating adverse aspects of agency operations, and for assuring that programs are managed with integrity and in compliance with applicable law.

Introduction

In organizations, accountability is a management control process in which responses are given for a person’s actions. These responses can be positive or negative. Depending on the response, the person might need to correct his or her error. In other words, accountability refers to individual responsibility for the work performed and answering to peers and superiors for performance.

Accountability is often used synonymously with responsibility, blameworthiness, and liability. As an aspect of governance, accountability has been central to discussions related to problems in the public, non-profit, and corporate sectors.

In leadership roles, accountability is the acknowledgment and assumption of responsibility for actions, products, decisions, and policies including the administration, governance, and implementation within the scope of the role or employee position. Accountability also encompasses the obligation to report, explain, and answer for resulting consequences. As leaders often make decisions with far-reaching consequences, accountability has a substantial ethical component.

Government accountability

Governing authorities have the obligation to report, explain, and answer for resulting consequences of their actions.

Accountability in Companies

Accountability also has a strong connection to expectations. Employees who do not meet the expectations of their supervisor are held accountable for their actions and must answer for their inability to do so.

Accountability is crucial to ensuring high performance within an organization. However, managers must clearly communicate their expectations to the person who is responsible for the specified action or task. Clear communication of expectations and well defined goals is a very effective tool to enhancing performance at every level of organization.

Without defined goals, employees lack a frame of reference for how they are performing in the workplace. They are unable to rely on guidelines or a structure that helps them achieve their performance goals. In many organizations, the management team and board of directors create goals for themselves and the general manager, while the general manager creates goals for department managers. This process is replicated throughout the organization, down to the department managers who create goals for entry-level employees.

Both subordinates and supervisors should have a clear idea of how their projects should be handled and delivered. A clear expectation level and the understanding that all employees are accountable for their performance boosts employee morale and productivity in the workplace. However, because different individuals in large organizations contribute in various ways to a company’s decisions and policies, it is often difficult to identify who should be accountable for the results.

Global Accountability

Recently, accountability has become an important topic in the discussion about the legitimacy of international institutions. Because there is no global, democratically elected body to which organizations must account, global organizations from all sectors’ bodies are often criticized as having large accountability gaps.

One emblematic problem in the global context is that of institutions such as the World Bank and the International Monetary Fund, which are founded and supported by wealthy nations and provide aid in the form of grants and loans to developing nations. The question persists as to whether these institutions should be accountable to their founders and investors or to the persons and nations they help.

In the debate over global justice and its distributional consequences, those in highly developed, heavily populated areas tend to advocate greater accountability to traditionally marginalized populations and developing nations. On the other hand, those who adopt a more nationalistic or provincial view deny the tenets of moral universalism; they argue that beneficiaries of global development initiatives have no substantive entitlement to call international institutions to account. The One World Trust Global Accountability Report, published in a first full cycle from 2006 to 2008, is one attempt to measure the capability of global organizations to be accountable to their stakeholders.

Examples

Example 1

The United States Department of Organization provides specific guidelines about accountability of managers. Managers are responsible for the quality and timeliness of program performance, increasing productivity, controlling costs and mitigating adverse aspects of agency operations, and assuring that programs are managed with integrity and in compliance with applicable law.

Example 2

The situation at Enron is another strong example of accountability – where the actions of a few unethical individuals caused great harm to the broader corporation and all stakeholders. In the case of Enron, the individuals involved in the negative actions are held accountable for the subsequent consequences, which reduces the likelihood similar things will happen again in the future.

1.3.2: The Importance of Leverage

Management roles are defined by the capacity to motivate and leverage human capital in the organization to achieve efficiency in operations.

Learning Objective

Describe how general managerial functions gain leverage in the workplace and how this relates to motivation

Key Points

While there are different ways to view the concept of gaining leverage as a manager, the underlying principle should be one of synergy.
Managers are responsible for planning, organizing, staffing, directing, monitoring, and motivating employees to create leverage in an operational system. Leverage primarily revolves around effective delegation and motivation.
Effective managers must have a thorough understanding of each employee’s strengths and weaknesses, as well as their aspirations and motivators, to appropriately carry out essential tasks.
Through combining delegation and motivation skills, managers effectively leverage human capital to achieve high levels of efficiency and employee satisfaction.

Key Terms

Synergy: Benefits resulting from combining two different groups, people, objects, or processes.
incentives: Ways to promote a desired action.
leverage: A technique used to multiply gain or loss.

Why Leverage Matters

Management roles are defined by the capacity of the manager to motivate and leverage the human resources in the organization to achieve efficiency in operations. As a result, effective managers are capable of optimizing the time and effort of employees to attain the highest possible value. This optimization requires a thorough understanding of basic managerial functions and the way in which incentives can be applied according to motivational theories in the workplace.

Although there are different ways of understanding the concept of gaining leverage as a manager, the underlying principle should be one of synergy. The concept of synergy emphasizes that one additional employee’s output is greater than an arithmetic expectation. More simply put, synergy means that 1 + 1 > 2 (a common adage in business for synergy is 1 + 1 = 3). Leverage, therefore, is about getting more out of a system than is put in, resulting in a value-added proposition.

Design management

Teams can create solutions through integration, giving the manager the ability to solve problems more complex than one individual can handle.

Managerial Functions and Leverage

Managers are responsible for planning, organizing, staffing, directing, monitoring, and motivating employees through the use of highly developed decision-making and interpersonal skills.

Delegation

Planning, organizing, and staffing are the preliminary steps to carrying out a project, setting schedules and constructing a team with the appropriate skills to execute the project effectively. This half of the managerial responsibilities falls largely within the decision-making realm, which correlates to a manager’s ability to organize tasks and delegate these tasks effectively to gain leverage.

The concept of delegation enables managers to minimize their own time commitment to specific elements of a process, as well as improve quality and efficiency through the use of specialists (managers are typically generalists). Delegation therefore allows managers to optimize team structures and skill-set distributions to allow for synergy in operations. Effective managers are able to juggle a number of teams of specialists, empowering their autonomy and controlling the workflow in a way that aligns with organizational objectives. Delegation sounds easy on paper, but it requires a number of intrinsic skills such as communication, organization, multitasking, and the ability to “zoom out” and observe the bigger picture (and identify the critical components that enable it).

Motivation

Planning, organizing, and staffing are followed by the more interpersonal elements of management: directing, monitoring, and motivating the staff. At this point, managers face the challenging task of assessing the skills of employees, assigning relevant tasks, monitoring progress, and providing incentives to drive productivity. Managers must have a thorough understanding of each employee’s strengths and weaknesses, as well as aspirations and motivators, to appropriately carry out these tasks. As a result, understanding motivational theories is at the heart of effectively managing employees.

Motivating employees to leverage the human resources within an organization is central to a manager’s responsibilities; it is achieved by understanding what drives productivity. Generally, positive incentives far outweigh negative ones in leveraging employees. To gain leverage, managers must ascertain what opportunities will drive the highest level of productivity in their work groups.

By effectively combining this motivational understanding with the expectations and responsibilities of managing employees, managers effectively leverage human capital to achieve high levels of efficiency and employee satisfaction.

Example

A business with high liquid capital may invest in information structure to reduce the cost of production and increase automation. These changes will ultimately achieve a higher productivity.

1.3.3: The Importance of Performance Targets

Performance standards motivate employees and management to use their time efficiently by setting achievable objectives.

Learning Objective

Explain the importance of performance targets in the business framework and the approaches to communicating and achieving them

Key Points

A key performance indicator (KPI) sets a performance standard for an organization, a business unit, or an employee.
Goal setting means establishing what a person or an organization wants to achieve. Goals should be specific, measurable, achievable, realistic, and time-targeted (SMART).
Motivation is the key component to effective goal setting. Organizations must consider performance targets within the context of creating motivated employees, who will in turn perform more effectively.
Performance targets are particularly useful due to their quantitative nature, which allows the measurement of outcomes and assessment of operations.

Key Terms

KPI: Key Performance Indicator; a tool to measure performance.
motivation: Willingness to perform an action, especially a behavior; an incentive or reason for doing something.

Managerial effectiveness is often assessed on the ability to achieve performance targets. Three basic concepts are involved in communicating and achieving targets: key performance indicators, goal setting, and motivation.

Performance Indicators

A key performance indicator is a tool for performance measurement used by organizations. It is used to set a performance standard for an organization, a business unit, or an employee. It is also used to evaluate the overall success of the organization and the success of a specific activity in the organization.

Success can be defined as progress towards strategic or operational goals such as zero defects, percentage of customer satisfaction (or retention), profitability margins, etc. KPIs are usually understandable, meaningful, and measurable. For the employee to achieve them, objectives should be clear and simple to understand.

Goal Setting

Goal setting is an effective tool for progressive organizations, because it provides a sense of direction and purpose. Employees benefit greatly from understanding what is expected of them and how they can measure this success (or lack thereof). A clear concept of achievement leads to independent personal development, and goal setting can improve the organization’s performance. Challenging goals tend to result in higher performance than easy or no goals.

Goal setting means establishing what a person or an organization wants to achieve. In setting these objectives, managers must ensure the goals are both understandable and achievable to meet performance targets. The SMART model is a good framework to keep in mind when generating goals and objectives. It aims to design goals that are specific, measurable, achievable, realistic, and time-targeted (SMART).

SMART criteria

Each component of the SMART model describes an effective attribute of a performance objective. Objectives should be Specific, Measurable, Achievable, Relevant, and Time-bound.

The SMARTER framework expands upon this model by noting that objectives should be evaluated and reviewed consistently as well.

Motivation

Motivation elicits, controls, and sustains certain goal-directed behaviors. There are a number of approaches to motivation: physiological, behavioral, cognitive, and social. Motivated employees are also more quality oriented and more productive.

1.3.4: Financial Rewards for Managers

Career success and fulfillment hinge on effective human-resource management and empowering employees with the necessary tools and skills.

Learning Objective

Describe how managers and human resource professionals can effectively empower employees to achieve success and fulfillment

Key Points

Understanding an employee’s needs and future objectives is critical in assigning them the responsibilities that align with their goals and that will serve to develop their skill set in a desired direction.
When assigning tasks, managers must keep career success and development in mind. It is beneficial to plan and implement employee objectives based upon career aspirations and skills.
Managers are also tasked with monitoring and reviewing employee outcomes with an eye for improvement opportunities. Performance monitoring allows for active skill development through constructive feedback.
Managers may employ numerous tools in developing employees in a meaningful and fulfilling way to ensure their future success. These tools include case studies, consultation, mentoring, and technical assistance.

Key Terms

empower: To give someone the strength and/or the means to accomplish something.
Consultation: A conference for the exchange of information and advice.

From a human-resources framework, managers are largely responsible for the well-being of their employees in regards to providing opportunities for career development and personal fulfillment.

Understanding an employee’s needs and future objectives is critical in assigning them responsibilities that align with their goals and that will serve to develop their skill set in a desired direction. A manager is also a leader, and leadership is a complex facet of the managerial process. Leading employees in an empowering way and enabling career success and fulfillment are central tasks in improving employee outcomes and creating more value for the organization.

When assigning tasks, managers must keep career success and development in mind. A reasonable rule of thumb is the plan-implement-monitor-review model illustrated in the figure below. Planning (based on employee objectives) and implementing (based upon shared expertise) provide a framework to move the employee in the direction of success. Monitoring progress and reviewing it will allow the employee to remain meaningfully engaged, working towards the common goal of success while gaining experience and skills from managerial expertise.

Facilitating employee success

By employing these steps, a manager can help their employees be successful.

Combining this model for success with a working understanding of a given employee’s objectives and fulfillment needs helps to ensure that employees remain motivated and satisfied with their current roles. Empowering employees in a developmental direction and providing them with challenges that stretch their abilities are substantial motivators. These are important developmental tools companies can use to obtain the highest possible value from their human resource investments.

Strategies for Promoting Employee Success

Promoting career success for employees and managers involves the creation of developmental goals that build stronger skills and aim toward fulfillment. Goal creation is generally achieved using varying approaches and experiences. These may include coaching, higher education, mentoring, reflective supervision, technical training, and consultation. When to apply which particular approach is the primary responsibility of a manager, as is assessing employees’ progress and trajectory towards the completion of their personal career objectives. Following are a few tools managers may use to optimize returns on career development:

Case Study Method – Case studies are an excellent way to drive employee experience in a realistic and meaningful way. These incorporate real-life situations that have happened in the past as a method for practicing decision making and assessing performance. Conclusions can then be applied by the employee or manager by assuming the role of the decision makers.
Consultation – Consulting assesses employee abilities through observing performance, reflecting upon these observations, and suggesting methods for improvement. This process is an important responsibility of any manager.
Mentoring – Mentoring is an excellent approach to enhance career success in which a manager matches two employees of different experience levels to learn from one another. Mentoring is usually accomplished by allowing an outside observer to evaluate and suggest improvements for newer employees who have had less time to develop in a particular role.
Technical Assistance – Helping employees implement new technologies and acquire modern skill sets is a growing field in career development. Technical training is provided to enable employees to be more effective with newer methodologies, tools, and equipment. This approach can be of particularly high importance to career development for older demographics, who may have extensive experience in more traditional methods.

1.4: Additional Roles and Skills of Managers

1.4.1: Mintzberg’s Management Roles

Mintzberg defined ten management roles within three categories: interpersonal, informational, and decisional.

Learning Objective

Outline the ten management roles under their three categorical headings, as devised by McGill University professor Henry Mintzberg

Key Points

Mintzberg characterizes management using three categories and ten roles, each of which exhibits critical managerial skill sets useful for business leaders in a variety of contexts.
Interpersonal roles include: figurehead, leader, and liason.
Informational roles include: mentor, disseminator, and spokesman.
Decisional roles include: entrepreneur, disturbance handler, resource allocator, and negotiator.
It is important to recognize that no single manager can be all things to all people at once. Good management requires assessing which role is appropriate when and determining if new talent is required to complement a skill set.

Key Terms

Informational: Designed or able to impart information.
decisional: Having the power or authority to make decisions.

Management is incorporated into every aspect of an organization and involves different roles and responsibilities. Henry Mintzberg (1973), the Cleghorn Professor of Management Studies at McGill University, defined ten management roles within three categories: interpersonal, informational, and decisional.

Each of the three categories embraces the different roles.

Interpersonal

Figurehead: symbolic head; performs a number of routine duties of a legal or social nature.
Leader: motivates and activates subordinates; performs staffing, training, and associated duties.
Liaison: maintains a self-developed network of outside contacts and informers who provide favors and information.

Informational

Mentor: seeks and receives a wide variety of special information (much of it current) to develop a thorough understanding of the organization and environment; emerges as the nerve center of internal and external information for the organization.
Disseminator: transmits information received from outsiders or from other subordinates to members of the organization. Some information is factual; some involves interpretation and integration of diverse value positions of organizational influences. Disseminating what is of value, and how, is a critical informational role.
Spokesman: transmits information (plans, policies, results, etc.) within and outside of the organization; serves as an expert on the organization’s industry.

Decisional

Entrepreneur: searches the organization and its environment and initiates improvement projects to bring about change; supervises design of certain projects as well.
Disturbance Handler: takes corrective action when the organization faces important, unexpected disturbances.
Resource Allocator: allocates the organization’s resources; makes or approves of all significant organizational decisions.
Negotiator: represents the organization at major negotiations.

A manager’s job is never static; it is always dynamic. At any given time, a manager may carry out some combination of these roles to varying degrees, from none of the time to 100 percent of the time. Throughout an individual’s working life, a person may hold various management positions that call upon different roles.

No one person can be all things to all people. While these ten roles are highly useful in framing organizational leadership, to expect one person to fill each role in a large organization is impractical. Instead, astute hiring managers will hire people with one or two specific roles in mind, thereby creating a team of managers capable of handling the wide variety of challenges in the business world today.

1.4.2: Managing Organizational Priorities

Agendas help to organize, prioritize, and facilitate discussion about a given set of points in an organizational pursuit.

Learning Objective

Explain the process of pursuing agendas, particularly from the perspective of change management, through the implementation of strategies and policies

Key Points

An agenda, particularly within an organization or business, is loosely defined as an organized approach toward accomplishing a series of objectives or discussing a series of points.
In business, an agenda is commonly brought to a meeting to ensure everyone understands what will be discussed.
Public companies have an important relationship with agendas, as they are often tasked with keeping meeting minutes, a verbatim overview of what was discussed for public viewing and consideration.
Skilled managers may both construct and implement an agenda in an organizational setting.
Good managers can balance the various interests, operations, and technical skills of a given team to ensure the objectives and timelines set forward by the agenda are carried out.

Key Terms

agenda: A temporally organized plan for matters for discussion or tasks to be carried out.
project management: The discipline of organizing and handling resources (e.g., people) in such a way that an endeavor is completed within defined scope, quality, time, and cost constraints.

Defining Agendas

An agenda, particularly from the perspective of an organization or business, is loosely defined as a organized approach toward accomplishing a series of objectives or discussing a series of points. Agendas are most commonly used in a short-term setting, such as a meeting or a given week’s work plan; however, they can also be used as a longer-term strategic planning component.

Example of an agenda

An agenda sometimes combines a process flow and a checklist, where employees and management involved in a given operational process track progress and provide updates. The image above illustrates a Gantt chart, which uses a bar graph to show progress toward completion.

Business Application

In business, an agenda is commonly brought to a meeting to ensure everyone understands what will be discussed. Agendas should be distributed well before the meeting or discussion to ensure individuals attending have time to prepare their discussion points and to familiarize themselves with what others will be discussing. Reading the agenda in advance ensures that the overarching goals of a given meeting are clear and understood by all participants prior to the discussion.

Agendas may also be used as a means of highlighting current progress and projecting future progress. This type of agenda provides a timeline and tracking mechanisms for participants involved in a given project and may or may not require onsite meetings. Agendas showing project progress are often used by contractors and those in the field of project management.

Keeping Minutes

Agendas are also used broadly in the political and public domain, where meetings held by public institutions, NGOs, or political groups are approached and organized via a given agenda. Public companies have a more important relationship with agendas than private companies, as they are usually required to record meeting minutes. These minutes are essentially a verbatim record of what was discussed and are made available for public viewing and consideration. As these discussions are accessible by any and all stakeholders, the outline and preparation of a valid and relevant agenda is of particularly high importance.

Relevance to Management

Skilled managers may construct and implement an agenda in an organizational setting. Building an agenda requires broad familiarity with all critical components of a given department, project, or organizational objective. Creating a relevant agenda and distributing it to concerned parties in a timely fashion requires organizational ability, communication skills (including the ability to write clearly and concisely), and strategic know-how (knowing what to discuss and in what order). Managers must be skilled in controlling the pace, tone, and trajectory of discussions at meetings. Agendas are an excellent tool for organizing thoughts and leading discussion.

The pursuit of agendas requires a similar set of managerial skills. Ensuring follow-through and keeping employees on task and on schedule requires an ability to multitask—to oversee various aspects of a given operational area simultaneously. Good managers can balance the various interests, operations, and technical skills of a given team to ensure the objectives and timelines set forth in the agenda are carried out.

1.4.3: Technical Skills of Successful Managers

Successful managers must possess certain technical skills that assist them in optimizing managerial performance.

Learning Objective

Outline the four critical technical skills commonly utilized by successful managers and supervisors in optimizing organizational performance

Key Points

Robert Katz identifies three critical skill sets for successful management professionals: technical skills, human skills, and conceptual skills.
Of the three skill sets identified by Katz, technical skills are the broadest category and the most easily defined. A technical skill is defined as a learned capacity in just about any given field of work, study, or even play.
Front-line managers represent a substantial portion of management; they rely on their technical skills daily.
Office environments require a complex set of communicative, technological, and data-organization skills to optimize managerial performance.

Key Terms

technical skill: The learned capacity or ability to carry out predetermined results using tools, machines, techniques, crafts, systems, and methods of organization.
delegation: The act of committing a task to someone, especially a subordinate.

Defining Technical Skills

Robert Katz identifies three critical skill sets for successful management professionals: technical skills, human skills, and conceptual skills. While these three broad skill categories encompass a wide spectrum of capabilities, each category represents a useful bucket for these skills to fall into and describes the way in which these skills interact with management at various levels.

Of the three skill sets identified by Katz, technical skills are the broadest, most easily defined category. A technical skill is defined as a learned capacity in just about any given field of work, study, or even play. For example, the quarterback of a football team must know how to plant his feet and how to position his arm for accuracy and distance—both technical skills. A mechanic, meanwhile, needs to be able to deconstruct and reconstruct an engine, to employ various machinery (lifts, computer scanning equipment, etc.), and to install a muffler.

Front-Line Managers’ Technical Skills

Managers also need a broad range of technical know-how. All industries need management, and management must exist at various organizational levels. Front-line managers represent a substantial part of management who must use their technical skills daily. Front-line managers must communicate up the chain of command while still speaking the language of the workers who are executing the hands-on components of the industry. A technical skill for a front-line manager might include a working understanding of a piece of equipment: the manager must be able to coach the employee on its operation, as well as communicate to upper managers the basic functions of the machinery.

Technical Skills in Upper Management

In addition to front-line managers, managers in other corporate roles and at higher levels require critical technical skills. These can include office-based competencies such as typing, programming, website maintenance, writing, giving presentations, and using software such as Microsoft Office or Adobe. Office environments require a complex set of communicative, technological, and data-organization skills in order to optimize managerial performance.

Successful managers in an organization must therefore learn to use the technological assets at their disposal, collecting critical information and data to communicate upward for strategic planning. An example of information management is a mid-level manager in the automotive industry who is responsible for recognizing global marketing potential. This individual must be capable of realizing the legal, demographic, social, technological, and economic considerations of entering a market; the manager will use effective research and delegation skills and also consolidate the information into a useful presentation using technological and communicative skills.

Katz postulates that the higher up in the organization an individual rises, the more conceptual skills (and fewer technical skills) are necessary. Senior managers need fewer technical skills because strategic decision-making is inherently more conceptual; mid- and lower-level skills such as data collection, assessment, and discussion are all more technical. Even so, all disciplines of management require a broad range of skill sets for effective business processes to occur.

Example

A technical skill for a front-line manager might include a working understanding of a piece of equipment: the manager must be able to coach the employee on its operation, as well as communicate to upper managers the basic functions of the machinery.

1.4.4: Intellectual Skills of Successful Managers

Conceptual skills revolve around generating ideas through creative intuitions and a comprehensive understanding of a given context.

Learning Objective

Recognize the inherent value of encouraging cooperation among teams as a management professional

Key Points

Conceptual skills of management represent one of the three skill sets identified by Robert Katz as critical to managerial success in an organization; the other two include technical skills and human skills.
Conceptual thinking is difficult to define but could generally be considered as the ability to formulate ideas or mental abstractions in the mind.
While all levels of management benefit from conceptual thinking, upper management spends the most time within this frame of mind.
Conceptual skills include the ability to forecast, think innovatively, and combine seemingly disparate information; they also include the communicative capacity to discuss and debate in pursuit of a good strategy.
Conceptual skills are important in empowering managers in all levels of an organization to observe the operations of an organization and frame them conceptually as an aspect of that organization’s strategy, objectives, or policies.

Key Term

conceptual: Pertaining to the ability to apprehend or form an idea in the mind; the ability to create a mental abstraction.

Defining Conceptual Thinking

Conceptual skills represent one of the three skill sets identified by Robert Katz as critical to managerial success in an organization; the other two include technical skills and human skills. While each skill set is useful in different circumstances, conceptual skills tend to be most relevant in upper-level thinking and broad strategic situations (as opposed to lower-level and line management). As a result, conceptual skills are often viewed as critical success factors for upper managerial functions.

Conceptual thinking is difficult to define but could generally be considered as the ability to formulate ideas or mental abstractions in the mind. Conceptual skills primarily revolve around generating ideas, utilizing a combination of creative intuitions and a comprehensive understanding of a given context (i.e., incumbent’s industry, organizational mission and objectives, competitive dynamics, etc.). When combined with a variety of information, as well as a degree of creativity, conceptual thinking can result in new ideas, unique strategies, and differentiation.

Conceptual Skills in Upper Management

While all levels of management benefit from conceptual thinking, upper management spends the most time within this frame of mind (as opposed to thinking more technically—looking at and working with the detailed elements of a given operation or business process). Upper management is largely tasked with identifying and drafting a strategy for the broader operational and competitive approach of an organization.

This strategic planning includes generating organizational values, policies, mission statements, ethics, procedures, and objectives. Creating this complex mix of concepts to use as an organizational foundation requires a great number of conceptual skills—formulating concepts and predicting their effects in an organizational setting.

Conceptual Skills in Lower and Middle Management

While upper management may use the conceptual skill set most, middle managers and lower managers must also both understand and participate in the generation of company objectives and values. Of particular importance are the ability to communicate these critical concepts to subordinates and the ability to gather useful information to convey to upper management so that the concepts can evolve.

Collecting the results of conceptual thinking represent a feedback loop. Conceptual skills are important in empowering managers in all levels of an organization to observe the operations of an organization and frame them conceptually as an aspect of that organization’s strategy, objectives, and policies. Conceptual thinking allows for accurate and timely feedback and organizational adaptability.

1.4.5: Interpersonal Skills of Successful Managers

A manager must be both analytical and personable when it comes to managing time, resources, and personnel.

Learning Objective

Demonstrate the integral human skills that enable effective management and leadership capacity in the organizational frame

Key Points

According to management theorist Robert Katz, management comprises three critical skill sets: technical skills, human skills, and conceptual skills.
Human skills are broadly perceived as a combination of social, interpersonal, and leadership skills. These skills are increasingly important in business and relevant to all levels of management (lower, middle, and upper).
Human skills differentiate a manager from a leader. A manager is simply manipulating resources to achieve a given objective, while a leader appeals to the human side of employees to generate creativity and motivation.
Interpersonal skills and communication skills lie at the center of human-based managerial considerations. Good managers understand not only what they are trying to say but also the broader context and implications of saying it.

Key Terms

empathy: The intellectual identification of the thoughts, feelings, or state of another person.
interpersonal: Between two or more people.

According to management theorist Robert Katz, management comprises three critical skill sets: technical, human, and conceptual. The development of human skills—which could be perceived as a combination of social, interpersonal, and leadership skills—is central to the success of a manager.

Leadership

Over the years, the common definition of management has become less specific, as managerial functions can include staffing, directing, and reporting. Modern companies have fewer layers of management, as these companies instead rely on the delegation of responsibilities and authority to achieve goals. As a result, businesses often speak of “leading,” or guiding, people rather than giving instructions for every action. Leading people represents a central component of human skills.

Under this definition of management, leadership is actually a subcategory of management. Management characterizes the process of leading and directing all or part of an organization, often a business, through the deployment and manipulation of resources (human, financial, material, intellectual or intangible).

Human skills differentiate a manager from a leader. A manager is simply manipulating resources to achieve a given objective, while a leader appeals to the human side of employees to generate creativity and motivation.

These concepts of “manager” and “leader” can be distinguished within a team setting. A team leader who is unconcerned with team members’ needs or who has a personal agenda that is perceived to be more important than the team’s goals may be considered more of a manager than a leader, with the possible outcome of being estranged from team members. Conversely, team leaders who are admired and loyally followed are those who show concern for the team members as individuals with real needs and who place their team above their own personal agendas.

Communication

Realistically, most organizations need leaders who can view their teams analytically and objectively, evaluating inefficiencies and making unpopular choices. However, it is misleading to think that a manager has to be distant from or disliked by subordinates to execute these responsibilities. Creating a healthy environment conducive to development, criticism, and higher degrees of achievement simply requires strong human skills, particularly in the realm of communication.

The “four sides” communication model

This model provides a theoretical framework for the act of communicating, which lies at the heart of effective management. A sender communicating a message to a receiver is not simply transmitting factual information; self-image, context, charisma, and the relationship between the two people also impact the reception of the message.

Interpersonal skills and communication skills lie at the center of human-based managerial considerations. Good managers understand not only what they are trying to say but also the broader context and implications of saying it. Empathy, self-reflection, situational awareness, and charisma all play integral roles in communicating effectively and positively.

1.4.6: Experiential Learning for Managers

Experiential learning is the process of making meaning from direct experience.

Learning Objective

Define the process, role and implementation of experiential learning as it pertains to managerial skill set development

Key Points

Experiential learning involves learning through reflection on direct actions and experiences; it is often contrasted with rote or didactic learning.
Experiential learning does not require a teacher; instead, it relates to the process of making meaning based on individual experience.
In this learning technique, a cycle of concrete experience, reflective observation, abstract conceptualization, and active experimentation generates realistic learning outcomes.
Management requires a wide variety of skills that are largely intangible and not easily learned via textbooks, so experiential learning serves as a useful focal point for study.

Key Terms

genuine: Belonging to, or proceeding from the original stock; native; hence, not counterfeit, spurious, false, or adulterated; authentic; real; natural; true; pure.
Experiential: Of, related to, encountered in, or derived from an activity or event.

Defining Experiential Learning

Aristotle once said, “For the things we have to learn before we can do them, we learn by doing them.” Experiential learning is the process of making meaning from direct experience. The experience can be staged or left unstructured. David A. Kolb, an American educational theorist, helped to popularize the idea of experiential learning, drawing heavily on the work of John Dewey, Kurt Lewin, and Jean Piaget. Kolb’s work on experiential learning has contributed greatly to expanding the philosophy of experiential education.

The Process

Experiential learning involves learning through reflection on doing; it is often contrasted with rote or didactic learning. Experiential learning is related to—though not fully synonymous with—experiential education, action learning, adventure learning, free-choice learning, cooperative learning, and service learning.

Experiential learning focuses on the learning process for the individual (unlike experiential education, which focuses on the transaction between teachers and students). An example of experiential learning is going to the zoo and observing and interacting with the zoo environment, as opposed to reading about animals in a book. It is the difference between firsthand knowledge and hearing or reading about other people’s experiences.

Experiential learning does not require a teacher; instead, it draws solely upon the process of making meaning based on direct individual experience. According to Kolb, knowledge is continuously gained through both personal and environmental experiences. While gaining knowledge is an inherent process that occurs naturally, certain elements must be present for a genuine learning experience to occur. Kolb states that to gain genuine knowledge from an experience requires the following abilities:

the learner must be willing to be actively involved in the experience
the learner must be able to reflect on the experience
the learner must possess and use analytic skills to conceptualize the experience
the learner must possess decision-making and problem-solving skills in order to use the new ideas gained from the experience

Experiential learning

The process of experiential learning is cyclical, with no required starting or end point. Learning through experiences requires observation, conceptualization, and experimentation to engage the mind.

Experiential learning can be a highly effective way to learn new skills, new attitudes, or even entirely new ways of thinking. It engages the learner on a more personal level by addressing the needs and wants of the individual. It requires initiative and the ability to self-evaluate. To be truly effective, it should span goal-setting, experimenting and observing, reviewing, and planning future action.

Role in Business

Experiential learning plays an important role in business learning and managerial training. It is an integral component to many training programs, as it engages both the intellect and the senses much more comprehensively than lectures, books, or videos. For example, a computer simulation of change management can be a useful application of experiential learning, as can a board game simulating operational efficiency in a factory.

Business skills are inherently intangible, evading the capture of most textbooks without external materials to create context. Management spans a wide variety of personal capabilities and requires different skills based upon the specific role and context, making it a challenging subject to teach. Motivating others and navigating a complex organizational structure are not skills individuals can learn via textbooks; experiential learning in business may therefore serve a useful focal point for study.

This principle is particularly noticeable in business programs that utilize a cohort or group-based educational structure for students. These programs enable students to select leaders and actively practice delegation, communication, and multitasking as they work on projects. Case studies offer another effective method of capturing these complex managerial skill sets in a real-life setting. Cases place students in the shoes of managers and allow them to experience and apply the variety of skills and considerations necessary for success in a specific situation and industry.

Example

A computer simulation of change management can be a useful application of experiential learning, as can a board game simulating operational efficiency in a factory.

1.5: Current Challenges in Management

1.5.1: PESTEL: A Framework for Considering Challenges

The PESTEL framework highlights six critical factors for management to consider when approaching the general business environment.

Learning Objective

Assess opportunities and threats within the context of external factors using the PESTEL framework

Key Points

Politics play a role in business, as there is a balance between free markets and systems of control.
Economic factors are metrics which measure and assess the health of a given economic region or environment.
Social factors, or demographic factors, assess the mentality of the individuals/consumers within a given market.
Recognizing the potential technologies available to optimize internal efficiency, or to avoid letting a product or service become technologically obsolete, is a large challenge for management.
Consumers and governments both penalize companies who have a large adverse affect on the environment (or reward those who have a positive impact).
Understanding the varying laws and regulations in a given region of operation is critical to avoiding unnecessary legal costs.

Key Terms

gross domestic product: A fiscal measure of an entire region’s economic production over a specific time frame.
anti-trust: A set of laws that ensures no company dominates an industry (i.e. creates a monopoly).
macro environment: As pertaining to the macro-environment, these factors are indicative of the entire business environment as a whole.

Organizations are faced with a variety of external factors that provide potential opportunities and threats for short-term and long-term success in any given environment. Encompassing a macro-environmental perspective, these factors can be effectively summarized with the acronym PESTEL.

PESTEL Analysis Diagram

This chart illustrates the PESTEL factors an organization faces.

PESTEL stands for the political, economic, social, technological, environmental, and legal influences a businesses encounters as it pursues its objectives. Analyzing the entirety of the macro-environment is an extensive and complex task, but understanding the framework of basic influences allows for an organized and strategic approach to isolating each opportunity or threat. It is common to conduct a PESTEL assessment before any serious decisions are made or any large projects undertaken. Understanding each of these influencing factors is the first step to addressing them properly.

Political

Politics play a role in business, as there is a balance between free markets and systems of control. Political factors affecting business specifically revolve around taxes, import and export tariffs, environmental and labor laws, potential subsidies, and the stability of a given operational region. As global economics now supersede domestic economics for many businesses, companies must consider a number of opportunities and threats when expanding into new regions or identifying optimal areas for production, sales, or corporate headquarters.

Economic

Economic factors are metrics that measure and assess the health of a given economic microcosm within the entire global economy. These factors incorporate exchange rates, gross domestic product (GDP), consumer purchasing indices, interest rates, inflation, and a number of other indicators of economic health or direction. These indicators are critical to management, as they can reveal a good time to borrow, as well as whether an economy will be friendly to an industry where businesses fluctuate substantially with GDP or spending power, etc.

Social

Social factors could loosely be defined as a demographic analysis, where specific groups display preferences or tendencies that can be leveraged or that can threaten a given incumbent. For example, in the United States, consumers are becoming more health-conscious. This trend affords the food industry opportunities to create products that meet this social desire; as a result, candy manufacturers may want want to consider diversification. The social movement of living “green” is another example of this kind of macro-environmental opportunity or potential threat.

Technological

Technology plays a larger and larger role each year in business and will continue to do so as research and development drive new innovations. Recognizing the potential technologies available to optimize internal efficiency is a powerful asset in management. Technology also presents a number of threats, as CD-player manufacturers and Blockbuster Video can attest. These companies were hurt by “disruptive innovations” such as the MP3 player and Netflix. Keeping pace with technology and adapting accordingly are important strategies to sidestep threats and embrace opportunities.

Environmental

The impact of business upon the environment is a growing concern, and companies must consider both the social and political segments of PESTEL in conjunction with environmental factors. Consumers and governments both penalize companies that adversely affect the environment. Governments levy enormous fines upon companies that pollute beyond given specifications, and consumers are more than willing to switch brands if they perceive that a business is ignoring its environmental responsibilities. The environment can also be a source of benefit to a company, such as running water for a hydro-power plant.

Legal

The last factor in PESTEL concerns legal elements, which can also be tied to the political framework. Legal issues such as affirmative action, patent infringements (a recent example being Apple vs. Samsung), antitrust laws (see Microsoft), health regulations, and safety regulations can all significantly affect a company that does not act responsibly. Understanding this legal landscape is important for businesses that want to avoid legal pitfalls and remain within the confines of established regulations.

1.5.2: The Challenge of Globalization

Globalization is the international integration of intercultural ideas, perspectives, products/services, culture, and technology.

Learning Objective

Assess the evolution of globalization in the business world and the challenges this has created

Key Points

Globalization is an influential modern topic that highlights the growing interdependence between different countries worldwide, necessitating managers to appropriately incorporate this trend within their strategies.
The speed of modern globalization is often attributed to technological developments in communication and transportation, tasking managers with appropriately leveraging these technologies internally.
Multinational companies cumulatively employ nearly half of the world’s population, creating a need for managers with a strong international awareness.
Managers must understand that some processes can be performed universally and internationally, while others must be done in a localized fashion to adhere to each specific region’s tastes and customs.
Critics of globalization cite the way in which it motivates an international culture over established domestic ones, as well as the negative environmental effects that result from business expansion.
Being mindful of the potential opportunities in a global economy, along with knowledge of how to localize and sidestep the negatives in an international marketplace, can capture large value for effective managers.

Key Terms

Localizing: The act of altering a product or service to better acclimate to a local environment.
Multinational Enterprises: Businesses that operate in more than one country.
Intercultural: Representative of many different cultures simultaneously.

Example

The 2008 financial collapse is a wonderful yet terrifying example of exactly what can go wrong and why corporate governance and ethics is of such importance to both a business and the society in which it operates. Leading up to the mortgage-backed security fallout of 2008, banks and investors began to move down the path of profitability over ethical concern. Banks eliminated certain rules and regulations (though the government did as well), allowing employees to sell mortgages that were unlikely to be repaid. Following this, upper management deemed it fit to package these risky securities into bundles and sell them as safe investments, in order to capture yet more value. Though only a simplified and small analysis of a complicated issue, this oversight in corporate management saw each echelon of leadership ignore the core responsibility of ensuring ethical standards in lieu of capital gains. Management is at fault for this oversight; it was a failure in corporate governance.

Globalization is a hot topic in the business world today, garnering enormous attention as imports and exports continue to rise with companies expanding across the global marketplace. Understanding the basic overview of the global economy underlines highly relevant managerial and business level applications that provide useful insights to modern-day managers.

In general terms, globalization is the international integration of intercultural ideas, perspectives, products/services, culture, and technology. This has resulted in large scale interdependence between countries, as specialization (arguably the root cause of globalization) allows for specific regions to leverage their natural resources and abilities to efficiently produce specific products/services with which to trade for another country’s specialization. This allows for a higher standard of living across the globe through higher efficiency, lower costs, better quality, and a more innovative and dynamic workforce.

Growth of Globalization

The ease of modern globalization is often attributed to rapid technological developments in transportation and communication. These form the central system of international exchange, allowing businesses to create meaningful relationships worldwide with minimal time investment and costs. Management is tasked with ensuring these resources are available to employees and properly leveraged to optimize the geographic reach of a business’s operations. This has led to the existence of many multinational enterprises (MNEs), who argue that survival in the newly globalized economy requires sourcing of raw materials, services, production, and labor.

From a managerial perspective, the global workplace implies an enormous amount of diversity management. Estimates of the world labor pool in 2005 noted that multinational companies employed a stunning 3 billion workers cumulatively, which is nearly half of the entire world population. As a manager, this means developing a globally aware perspective that lends itself well to the specific geographic needs, values, and customs in which the business operates. Developing this global skill set is a powerful managerial skill.

Challenges of Globalization

Managers should also be aware of the best way to approach global demographics from a business to consumer perspective, taking an international product or service and localizing it successfully. This is a significant challenge, necessitating consideration for different tastes and branding strategies during the implementation process. This chart illustrates the process of moving from an international product to a localized product step by step, making note of the element of production that can be universally applied compared to those that need a localized touch.

Globalization Process

This chart illustrates the complementary localizing and internationalizing responsibilities of a globalizing organization. The organization must place an international focus on product design, development, and QA to ensure its broad relevance while also localizing marketing to tailor its appeal to individual markets.

Managers must also be particularly aware of the current criticisms of a highly global society, particularly as it pertains to ethical and environmental considerations. A global economy is, in many ways, enforcing a global culture. This global culture is often criticized for taking the place of previously established domestic cultures (and motivating consumerism).

As a result, managers should carefully consider how to best localize products to retain cultural identity in the regions they operate. Environmental concerns are of large importance as well, as the constant energy utilization required for this interchange pollutes the environment and uses high quantities of valuable energy-creating resources. Minimizing the damage done to the environment, and offsetting it as best as possible through philanthropic giving, is not only a wise marketing move but also a critical ethical consideration.

Conclusion

Combining these points, the globalized society presents enormous opportunity for businesses. Intercultural marketplaces allow for differing demographics, larger market potential, a more diverse customer base (and therefore more diverse product offering) and a highly valuable human resource potential. On the other end of the bargain, managers are tasked with localizing products and services effectively in a way that minimizes the adverse cultural and environmental effects caused by this rapid global expansion to maintain an ethical operation.

1.5.3: The Challenge of Ethics and Governance

Ethics is at the core of corporate governance, and management must reflect accountability for their actions on a global community scale.

Learning Objective

Explain the role of management in setting strategic governance policies that conform to ethical and legal standards

Key Points

Business itself cannot be ethical: only the managers and corporate strategists can implement ethics within the framework of the business strategy.
Corporate ethics and shareholder desires for profitability are not always aligned, and it is the responsibility of executive management to ensure ethics supersede profitability.
In its simplest form, corporate ethics is a legal matter. Abiding by laws protecting workers’ rights and appropriate compensation is a top priority for management.
Corporate governance and ethics become more difficult with the indirect implications of particular practices, making it important to assess the way in which certain operations may adversely affect the community at large.
Managers are the primary decision makers, and therefore must hold themselves accountable for the way in which a business operates and affects stakeholders, shareholders, employees, and the community at large.

Key Terms

profitability: The capacity to generate capital.
accountability: Individuals’ responsibility for their own work and acceptance of the repercussions of their actions.

Accountability

First and foremost in corporate governance is the strict adherence to business ethics on a professional level. The figure highlights the primary responsibilities of corporate managers; the upper left corner—accountability—is of particular significance. Understanding the rules and regulations in place, along with societal and personal expectations of ethical actions, is an absolutely critical and fundamental concern for all managers. The complexities and responsibilities of running a business and managing employees is the first priority for managers, as it holds the highest repercussions, both personal and fiscal, for all parties involved.

Economist Milton Friedman makes an insightful observation when he states “…the only entities who can have responsibilities are individuals…A business cannot have responsibilities.” Though this sounds like common sense, it is a fact often overlooked that the only parties capable of acting ethically are those in charge. Furthermore, ethics often contrasts with the basic premise of capitalism and the demands of shareholders: profitability. Therefore, the most difficult decisions in corporate governance—those at the ethical level—must be made through the more complex assessment of societal, corporate, and personal values.

Legal Foundations

At its most basic, ethical behavior can first be derived via the laws, rules, and regulations of the country in which a business operates. In the United States, workers are imbued with very specific rights regarding the risks they take, the hours they work, the breaks they deserve, and the benefits they are provided. Managers are the responsible parties in ensuring these are delivered to the employees in an equitable and legal way. When working over 40 hours a week, hourly employees are entitled to overtime pay. When working long shifts, employees are entitled to breaks. When working in dangerous conditions, employees are entitled to protective gear and training.

At their core, these regulations approach the fundamental dissonance alluded to above: profit-maximizing behavior as it contrasts with non-economic concerns. This dissonance is exacerbated by the global economy, which sees businesses operating within communities towards which they have no dependence or direct sensitivity. As a result, to ask the question, “What does this practice mean for the people in the area in which we operate?” is crucial in ensuring adherence to a community-first action plan.

The 2008 Financial Collapse

Complexities begin to arise as the the ethical implications within an economic system become more subtle. The 2008 financial collapse is a wonderful yet terrifying example of exactly what can go wrong and why corporate governance and ethics is of such importance to both a business and the society in which it operates. Leading up to the mortgage-backed security fallout of 2008, banks and investors began to prioritize profitability over ethics. Banks eliminated certain rules and regulations (though the government did as well), allowing employees to sell mortgages that were unlikely to be repaid. Following this, upper management deemed it fit to package these risky securities into bundles and sell them as safe investments (though they were in fact risky derivatives), in order to capture yet more value. Though this is only a simplified and small analysis of a complicated issue, it succinctly describes how corporate management saw each echelon of leadership ignore the core responsibility of ensuring ethical standards in lieu of capital gains. Management is at fault for this oversight; it was a failure in corporate governance.

The 2008 collapse is a powerful reminder that managers must keep in mind that their primary goal for shareholders is to maximize profits, while their primary goal to the community at large is to provide products without adverse effects on that community. Managing employees responsibly and putting their well-being first is an important step in this process, as is considering the wider implications of opening a new factory that pollutes or selling a highly unhealthy food product. Managers must be responsible because businesses as a whole cannot, and this responsibility towards integrity lies at the heart of management.

1.5.4: The Challenge of Diversity

Globalization demands a diverse workforce, and assimilating varying cultures, genders, ages, and dispositions is of high value.

Learning Objective

Explain the inherent value diversity generates in the competitive landscape and the challenges globalization presents

Key Points

In the 1960s, the U.S. begin identifying trends in workplace diversity and addressed them with legislation. This evolved into a societal change that embraces diversity as both valuable and ethical.
Diversity poses various challenges in communication, from differences in language to differences in culture. Understanding these cultural differences and what they may accidentally communicate is critical to effective communication.
Majority cultures have a tendency to create a homogeneous environment, possibly limiting the potential diverse opinions can provide.
Groupthink is a threat of which managers must be aware, particularly in meetings where dominant opinions steal most of the spotlight. Different perspectives are where the highest value can be captured in diverse environments.
The ability to manage diversity, as well as refine actions to communicate accurately and intentionally, are valuable and necessary aspects of effective management.

Key Terms

groupthink: Decision making that is often characterized by a high degree of conformity.
Hegemony: The dominance of one social group over another.

The Value of Diversity

Globalization has resulted in enormous cross-cultural relationships, along with high percentages of domestic diversity. As globalization creates higher potential value in approaching diverse markets and demographics, understanding how to manage a diverse community internally is a priority for management.

Through creating a more international community and increasing variety among workforces, companies stand to benefit enormously from meaningful diversity in opinions and perspectives. This opportunity, if not properly utilized, becomes a threat as the competition grows more effective at leveraging diversity to create synergy. Therefore, staying competitive requires the creation of an effectively diverse workplace.

Ethnic diversity map

This map illustrates the level of diversity worldwide. Areas like sub-Saharan Africa tend to be more heterogenous than, for instance, states in Europe.

Stemming from various legislative initiatives in the 1960s, the concept of equality and a fair distribution of opportunity became a domestic focus in the United States. As the decades passed, this focus shifted from a legal requirement to a social expectation. Finally the idea of equality became a societal norm that recognizes both the importance and the value of diversity. This evolving outlook on a diverse workplace has ultimately resulted in the recognition and implementation of diversity management and intercultural understandings within organizations, creating stronger and more ethical business practices.

Challenges of Diversity

Despite this successful trajectory, challenges to diversity naturally occur as a result of communication (languages and values), majority hegemony, and groupthink.

Communication

Communication is at the heart of diversity management, but not necessarily for obvious reasons. Linguistic differences, while certainly a challenge, are tangible and straightforward. Learning new languages or translating materials is a reasonably effective approach to addressing these difficulties.

The more difficult challenge is the intangibles in communication that arise not from literal words but from cultural expectations. Different cultures not only speak different languages but adhere to different values, draw different assumptions, and define different actions as appropriate or inappropriate. Overlooking these cultural differences can result in miscommunication that may go unrecognized. For example, in China it is quite important to understand the concept of guanxi (face), particularly as it pertains to paying respect to guests or superiors. Overlooking these customs sends unintentional messages that can do irreversible damage.

Majority Hegemony

Majorities in businesses creating a homogeneous culture is also a substantial threat, as company culture is a direct product of the participants (employees). This can result in a business that creates and promotes a particular culture over other minority cultures, usually unintentionally as a result of numbers. This hegemony can create tension between different groups, ultimately resulting in the smaller groups moving towards the culture of the larger ones to close the dissonance, a practice called assimilation. Assimilation should be a shared responsibility, not simply assumed by those in the minority group.

Groupthink

The most substantial threat these communicative barriers and homogeneous tendencies create could loosely be defined as groupthink. Groupthink is when many people within the same organization begin to adopt similar perspectives, usually to simplify meetings and minimize discord. On the surface, this consensus sounds like a good thing. However, as the global economy requires businesses to understand varying perspectives, it also necessitates the cultivation of these diverse perspectives internally. Groupthink will often result in the assimilation of dissenting perspectives. The opportunity cost is precisely these different viewpoints. Without differences in perspective, companies have little room to expand into new demographics or innovate new solutions.

The Role of Management

Different cultural norms offer an interesting study in diversity management. Etiquette for receiving a business card in China requires accepting it with both hands and taking a full moment to read it. Following this, recipients place the card face up on the table in front of them during the meeting, referring to it when necessary. In the U.S., a strong handshake and self-introduction is a polite start to a meeting. Conversely, in Japan, it is appropriate to wait to be introduced and then bow following the greeting.

Managers must be not only aware of diversity in the workplace but also open-minded and empathetic to perspectives other than their own. Effective managers in diverse situations have a highly developed degree of cultural competence that empowers them to use careful observation skills to determine what gestures, phrases, customs and values would be most appropriate in a given circumstance. Adroit management must also work actively against groupthink, empowering everyone not only to speak but to be brave enough to go against the majority opinion. The goal for management is to ensure everyone is working to assimilate to everyone else in a balanced and effective manner that harvests differences rather than smoothing them over.t

Example

1.5.5: The Challenge of Technology

Technology management is crucial in offsetting the risks of new technology while acquiring the operational benefits it provides.

Learning Objective

Recognize the opportunities and threats inherent in the technological landscape from a business perspective, and how to manage these

Key Points

Managing new technology requires a thorough understanding of business technology management, which consists of four general parts.
Managers must understand how to achieve internal efficiency by applying new technology to operational processes.
Businesses should create strategic business units focused solely upon managing a company’s technological strategy.
Keeping pace technologically requires extensive research and strategic analysis of the potential value of acquiring innovations.
Implementing new technology requires retraining staff and eliminating the natural friction that results from making operational changes.
Managers should be aware of the value in research, development, and forecasting future technological innovations to keep ahead of the competition.

Key Terms

competitive advantage: Something that places a company or a person ahead of a competing business.
evolves: Constantly changes and develops.
Synergy: The concept that a whole can derive more value than the combination of the individual parts.

Technology and Management

Managing technology is an intrinsic part of managing a business, and effectively balancing resources to optimize efficiency is an important operational objective for all managers. Varying perspectives and strategies in technology management abound, all revolving around a few simple needs being filled to move the business towards a competitive advantage. The reason behind the prioritization of technology management is that new, disruptive technology constantly threatens to result in higher efficiency of competitors. On the other hand, effectively managed technology affords businesses the opportunity to outpace the competition (see figure below).

Disruptive technology

This graph underscores the concept that technology advancement is both a constant opportunity and a constant threat.

Business Technology Management (BTM)

From a general standpoint, business technology management focuses on understanding how technology fits into an organization’s processes and structure. It provides the opportunity to streamline operations and produce higher quantities of quality information. BTM can therefore be divided into four elements:

Process: Businesses, whether they provide products or services, always have a set of processes that define how deliverables are generated. These processes need to be assessed for efficiency and effectiveness, particularly as they allow for optimal potential modern technology.
Organization: Businesses are constructed under the assumption of synergy. Each of the strategic business units (SBUs), or facets of the organization, complements one another to create an ability greater than the sum of its parts. Establishing an information technology (IT) department within a business that will function with upper management and throughout the ranks allows for proper implementation of BTM.
Information:Technology evolves exponentially, often changing faster than businesses can easily monitor. Performing appropriate research and analysis of the current technological environment generates the highest return on the (often expensive) investments demanded by keeping pace technologically.
Implementation: After a business organization has a mature IT department that understands the company processes, the department can work with an understanding of the available technologies to upgrade and implement these innovations. Implementation includes training employees, monitoring the return on investment, maintaining new technology, and eliminating friction from the necessary operational changes. Change is always complicated, and businesses benefit greatly by adopting change-management techniques when integrating new technology.

Keeping up with Technological Progress

While managers are focused upon these four aspects of BTM, they must also keep future growth and technology scaling in mind. As innovation continues to demand a central role in businesses, research and development will continue to be critical to a healthy organization. Appropriately funding research initiatives that not only keep track of new innovation but actively seek out strategic solutions creatively offers companies the best chance of survival in the global marketplace.

Managers must also realize the importance of acquiring technology talent that can keep pace with the environment. This is important for two reasons:

The potential to uncover new competitive advantages through internal development
The capacity to forecast up-and-coming technologies to construct an investment road map that always keeps the competition a technological step behind

Developing new technologies in-house is particularly relevant to industries on the cutting edge (e.g., semiconductors, green energy initiatives, TVs, etc.), while forecasting is more critical for the users/consumers of these industries on the business level.

Combining BTM with research and development will ensure managers are properly equipped to tackle the challenges of modern-day innovations, leveraging these capabilities to differentiate from the competition and derive stronger margins. Managers across the board must be aware of the importance of these technological developments, as well as the operational challenges in researching and implementing them.

1.5.6: The Challenge of Competition

Managers must understand a company’s competitive advantage and build a strategy that takes into account the competitive landscape.

Learning Objective

Describe competitive strategies such as low cost, differentiation, and internal competition and the role of the external competitive landscape in developing them

Key Points

Managers must know their business’s strengths and integrate them into the appropriate strategy to remain competitive.
Low-cost strategies are when companies sell a product or service at the lowest possible price point to stay competitive.
Differentiation is an alternative strategy to low cost in which companies fill a specific need that is not being filled or generate a brand image that increases their value-added proposition.
High quality is the antithesis of low cost; instead of efficiency, the strategy focuses on effectiveness, creating the best possible product to capture market share.
Companies also compete internally, either developing naturally competitive products or battling for funding based upon unit success.
Managers must understand all of these competitive strategies and align them with their perceived strategic advantage to stay competitive.

Key Terms

competitive advantage: Something that places a company or a person ahead of competing businesses.
differentiation: A strategy focused on creating a distinct product for a specific population.
Branding: A business’s ability to communicate a specific image, generally one that will entice consumers or add value.

Competitive Strategies

From a managerial perspective, competition generally falls into the external environment, though it can also take shape in the internal environment through rivalry between strategic business units (SBUs). For managers, understanding the external competitive landscape is a critical factor in assessing company strategies and benchmarking appropriately to ensure the competitiveness of the firm. Businesses that fail to keep pace with their rivals will eventually be overpowered and often forced to develop an exit strategy.

Avoiding the risks of competitive factors demands a strong understanding of operational efficiency (low cost), quality production, differentiation, and competitive advantage—or who you target and whether or not you have a cost or quality advantage (see figure below).

Cost vs. quality

Companies generally achieve either a cost or a quality advantage (very rarely, both). In panel A, both companies’ products have the same cost, but Company I’s product has higher value. In panel B, both companies’ products have the same value, but Company I’s product has lower cost. In panel C, Company I’s product has both higher value and lower cost (this is the rarest situation).

Low-Cost and Branding

The simplest perspective on competition is in industries where products are homogeneous (or very alike). In such a situation, companies compete directly. For example, bottled-water producers are directly involved in such a framework and thus adopt two basic competitive strategies: low-cost and branding.

Low-cost suppliers find ways to optimize their production and distribution to offer consumers the lowest possible price on one bottle of water. Low-cost suppliers often benefit largely from economies of scale. Branding, on the other hand, aims to convince the consumer that a higher price point is worth paying based upon the company’s name, reputation, or other distinguishing characteristic. For example, Dasani brand water costs more than generic store brand water, despite being essentially the same product. Commercials, aesthetic presentation, goodwill, and factors other than price may then influence a consumer’s purchasing decision.

Differentiation

Most products and services are not homogeneous, however, allowing incumbents in an industry to compete with one another by means of various competitive strategies. Differentiation is a competitive tactic wherein companies approach certain niche needs within an industry to capture a segment of the market share.

An example of differentiation might be cereal. There are hundreds of different kinds of cereals. The need being filled is sustenance: people need to eat. The producers of these cereals use differentiation to capture a share of the cereal market: some brands focus on their organic nature, others their sugary appeal, and still others on being “cool.” Branding plays an important role here as well, though assessing niche consumer needs and filling them is the principal focus.

Quality

Finally, there is the potential to compete externally based upon quality. Toyota makes both the Corolla and the Lexus, thereby targeting both ordinary automobile drivers and those in the luxury-car consumer bracket. Quality competitive strategies, while related to branding, provide a particular level of quality to capture a specific income or interest demographic. The opportunity cost of efficiency is associated with quality, which generally sees higher price points. Quality is therefore a strong antithesis to the low-cost strategy.

Internal Competition

Businesses also compete internally, an intrinsically complex issue. On the surface, internal competition involves either direct product substitutes or funding competition (among different business units). An example of internal competition is PepsiCo. Pepsi makes both colas and sports drinks, all of which sit on the shelf next to one another. When a customer sees the sports drink and chooses it over the cola, the cola has lost a sale to an internal competitor. Pepsi, however, did not lose a sale; it merely lost one segment of the business while gaining another.

With these points in mind, managers must thoroughly understand the products they are pitching and which strategy will help them avoid going toe-to-toe with other businesses with whom they cannot compete. Starting up a car manufacturing business to compete with Hyundai in the low-cost market is extremely difficult, as Hyundai has economies of scale in place that will almost always beat smaller competition on a low-cost strategy. This example illustrates an extremely important point in business: rely on strengths. Managers must understand their own competitive advantage (what they do better than the competition) to adopt the appropriate competitive strategy to gain market share and remain profitable.

1.6: Entrepreneurship

1.6.1: Introduction to Entrepreneurship

Entrepreneurship relates to the pursuit of risky and innovative business ventures to capture new opportunities.

Learning Objective

Define entrepreneurship within the context of standard activities and organizational support

Key Points

Entrepreneurs are innovators, willing to take risks and generate new ideas to create unique and potentially profitable solutions to modern-day problems. Entrepreneurship is not so much a skill as a habitual state of mind.
When entrepreneurship describes activities within a firm or large organization, it is referred to as intrapreneurship and may include corporate venturing, when large entities spin off organizations.
Entrepreneurship employs what Schumpeter called the gale of creative destruction to replace wholly or partly inferior innovations across markets and industries. This destruction simultaneously creates new products and new business models.
Entrepreneurship ranges in scale from solo projects (even involving the part-time entrepreneur) to major undertakings that create many job opportunities.
Entrepreneurial activities can be incremental or disruptive. Incremental innovations are a number of small changes that transform process flows while disruptive innovations are entirely new approaches.

Key Terms

entrepreneurship: The art or science of innovation and risk-taking for profit in business.
entrepreneur: A person who organizes and operates a business venture and assumes much of the associated risk.

Entrepreneurs

Entrepreneurs are innovators, willing to take risks and generate new ideas to create unique and potentially profitable solutions to modern-day problems. This innovation may result in new organizations or revitalize mature organizations in response to a perceived opportunity. The most obvious form of entrepreneurship is starting a new business (referred as a startup company). In recent years, the term has been extended to include social and political forms of entrepreneurial activity, which are often referred to as social entrepreneurship.

Entrepreneurial activities differ substantially depending on the type of organization and creativity involved. Entrepreneurship ranges in scale from solo projects (that can even involve the entrepreneur working only part-time) to major undertakings that create many job opportunities. Many high-value entrepreneurial ventures seek venture capital or angel funding (seed money) to raise capital for building the business.

Fostering Entrepreneurship

When entrepreneurship describes activities within a firm or large organization, it is referred to as intrapreneurship and may include corporate venturing, in which large entities create spin-off organizations. Corporations have become aware of the potential advantages of internal entrepreneurial activity and often have innovation specialists in their organizations to develop creative solutions for complex problems. Google has become well known for allowing all employees to dedicate 20 percent of their time to any new project of their choosing. Entrepreneurs have become an integral part of business.

Many kinds of organizations now exist to support would-be entrepreneurs, including specialized government agencies, business incubators, science parks, and some non-governmental organizations. More recently, the term entrepreneurship has been extended to include elements unrelated to business formation activity. Concepts of entrepreneurship as a specific mindset have emerged, resulting in initiatives like social entrepreneurship, political entrepreneurship, and knowledge entrepreneurship.

Disruptive and Incremental

Joseph Schumpeter describes an entrepreneur as “a person who is willing and able to convert a new idea or invention into a successful innovation.” Entrepreneurship employs what Schumpeter called the gale of creative destruction. Schumpeter’s idea encompasses more than single innovations, as he further explains how innovative thinking allows for a sustainable and long-term economic growth for societies that enable it. Creating new goods and new ways of doing things allows for consistent job growth, more consumption, and more economic dynamism. Innovative thinking allows for so-called disruptive innovations—innovations which make leaps and bounds over existing products. One classic example is the iPhone.

Schumpeter’s view is not the only one, however. Incremental innovation is also largely recognized as a vital entrepreneurial pursuit. The idea of incremental innovation is simple: large change is a byproduct of small innovations compounded with others. Incremental innovators find ways to improve the efficiency of established processes to drive efficiency. An example of this kind of innovation is Toyota’s just-in-time inventory management. Incremental innovations are often process-based, while disruptive innovations are usually new goods or processes themselves.

Chapter 12: Writing a Paper in Chicago/Turabian Style (History)

12.1: Introduction to Chicago/Turabian Style

12.1.1: When to Use Chicago/Turabian Style

Chicago style, created by the University of Chicago, is the primary citation style used for papers in history.

Learning Objective

Recognize when to use Chicago/Turabian style in writing

Key Points

Chicago style is one of the most common citation and formatting styles you will encounter in your academic career.
Chicago style is based on The Chicago Manual of Style.
Turabian style is based on Kate L. Turabian’s A Manual for Writers of Research Papers, Theses, and Dissertations, which is very similar to Chicago style but with an emphasis on student writing.
Chicago style provides guidelines for grammar, formatting, and citing your sources.
There are two subsets of Chicago/Turabian style which cite their research sources differently: Author–Date and Notes and Bibliography.

Chicago style is a citation and formatting style you may encounter in your academic career. Any piece of academic writing can use Chicago style, from a one-page paper to a full-length book. It is used by most historical journals and some social science publications. If you are writing a paper for a history class, it is likely your professor will ask you to write in Chicago style.

The Chicago Manual

The Chicago Manual of Style (abbreviated in writing as Chicago style, CMS, or CMOS) is a style guide for American English published since 1906 by the University of Chicago Press. Its sixteen editions have specified writing and citation styles widely used in publishing, particularly in the book industry (as opposed to newspaper publishing, where AP style is more common). Chicago style deals with many aspects of editorial practice. It remains the basis for the Style Guide of the American Anthropological Association and the Style Sheet for the Organization of American Historians. Many small publishers throughout the world adopt it as their style.

The Turabian Manual

“Turabian style” is named after the book’s original author, Kate L. Turabian, who developed it for the University of Chicago. Except for a few minor differences, Turabian style is the same as Chicago style. However, while Chicago style focuses on providing guidelines for publishing in general, Turabian’s Manual for Writers of Research Papers, Theses, and Dissertations focuses on providing guidelines for student papers, theses, and dissertations.

The Purpose of Chicago/Turabian Style

Chicago/Turabian style offers writers a choice of several different formats, because it is used in a wide variety of academic disciplines. It allows the mixing of formats, provided that the result is clear and consistent.

The most recent edition of The Chicago Manual of Style permits the use of both in-text citation systems (“Author–Date” style, which is usually used in the social sciences) or footnotes and endnotes (this is called “Notes and bibliography” style, which is usually used in the humanities).

Grammar and Formatting

Chicago style includes many basic grammatical rules. For example, Chicago style does use the Oxford comma, which some other citation styles (e.g., AP style) do not. Other examples include rules about what punctuation should be included inside a quotation and when to use what type of dash. For instance, Author–Date citations are usually placed just inside a mark of punctuation.

Citations

As mentioned above, the most recent editions of The Chicago Manual of Style permit the use of either in-text citation systems or footnotes and endnotes. It can give information about in-text citation by page number or by year of publication; it even provides for variations in styles of footnotes and endnotes, depending on whether the paper includes a full bibliography at the end.

12.1.2: Overall Structure and Formatting of a Chicago/Turabian Paper

Every paper written in Chicago/Turabian style has the same basic structural elements.

Learning Objective

Identify the structural elements of a Chicago/Turabian paper

Key Points

A Chicago/Turabian-style paper should include a title page, a body, a references section, and, in some cases, endnotes.
Chicago/Turabian style provides specific guidelines for line spacing (your paper should be double-spaced), margins (1–1.5 inches), and page numbering.
Use the Oxford comma, and only use one space following periods.
Listen to your professor’s specific guidelines if they want you to use a table of contents.

Key Term

footnote: A short piece of text, often numbered, placed at the bottom of a printed page to add a comment, citation, or reference to a designated part of the main text.

Overall Structure of a Chicago Paper

Your Chicago paper should include the following basic elements:

Title page
Body
References (if using the Author–Date method)
Bibliography (if using the notes and bibliography method)

General Formatting Rules

Typeface

Your paper should be written in a legible font such as Times New Roman, and should be at least 10-pt in size (12-pt is recommended).

Line Spacing

All text in your paper should be double-spaced except for block quotations and image captions. On your citations page, each citation should be single-spaced, but there should be a blank line between each citation.

Margins

All page margins (top, bottom, left, and right) should be at least 1 inch and no more than 1.5 inches. All text, with the exception of headers, should be left-justified.

Indentation

The first line of every paragraph and footnote should be indented 0.5 inches.

Page Numbers

Page numbers in Arabic numerals (1, 2, 3…) should appear right-justified in the header of every page, beginning with the number 1 on the first page of text. Most word-processing programs have the ability to automatically add the correct page number to each page so you don’t have to do this by hand.

General Grammar Rules

The Oxford Comma

The Oxford comma (also called the serial comma) is the comma that comes after the second-to-last item in a series or list. For example:

The UK includes the countries of England, Scotland, Wales, and Northern Ireland.

In the above sentence, the comma immediately after “Wales” is the Oxford comma.

In general writing conventions, whether the Oxford comma should be used is actually a point of fervent debate among passionate grammarians. However, it’s a requirement in Chicago style, so double-check all your lists and series to make sure you include it!

Capitalization After Colons

In most cases, the first word after a colon should not be capitalized:

I know exactly what happened: he stole the cookies.

However, if what follows a colon is a series of multiple sentences, or a quotation, you do need to capitalize the first word after the colon:

If you have a colon in the middle of a sentence, and what follows after is a quotation or multiple sentences, the first word after the colon should be capitalized. For example:

I know exactly what happened: He stole the cookies. She snatched the cupcakes. You took the brownies.

Sentence Spacing

It used to be convention to type two spaces after every period—for example:

“Mary went to the store. She bought some milk. Then she went home.”

This convention was developed when typewriters were in use; the space on a typewriter was quite small, so two spaces were needed to emphasize the end of a sentence. However, typewriters, and therefore this practice, are now obsolete—in fact, using two spaces after sentences is now generally frowned upon. Chicago style in particular includes an explicit rule to use only single spaces after periods:

“Mary went to the store. She bought some milk. Then she went home.”

A Note on the Table of Contents

Chicago style does not provide guidelines for tables of contents for individual papers themselves. If your professor asks you to include a table of contents in your paper, they will give you their own guidelines for formatting.

12.2: Chicago/Turabian: Structure and Formatting of Specific Elements

12.2.1: Chicago/Turabian: Title Page

A paper in Chicago/Turabian style has a title page that follows specific formatting rules.

Learning Objective

Arrange the title page correctly in a Chicago-style paper

Key Points

Your title page should include the title of your paper, your name, the name of your course, and the date the paper is due.
All the information on your title page should be centered horizontally.
The title of your paper should be written in all capital letters.

Key Term

dissertation: A formal research paper that students write in order to complete the requirements for a doctoral degree.

Title Page

The following information should be centered horizontally on the title page:

a third of the way down the page, the title of your paper in all capital letters;
on the next line, the subtitle of your paper (if you have one);
two-thirds of the way down the page, your name;
on the next line, the name of your course; and
on the next line, the due date of the paper.

These elements should not be bolded, underlined, or italicized. Note that the requirements may be different for doctoral theses or dissertations.

Chicago-style title page

A title page introduces the title of your paper—and you, its author!

12.2.2: Chicago/Turabian: Headings

In Chicago style, headings are used to organize your writing and give it a hierarchical organization.

Learning Objective

Order headings correctly in Chicago/Turabian style

Key Points

In Chicago style, headings are used to organize your writing and give it a hierarchical organization.
There can be up to five levels of headings in your paper. Some use title case; some use sentence case.

Key Term

hierarchical: Arranged according to importance.

In Chicago style, headings are used to organize your writing and give it a hierarchical organization. Chicago style puts forth specific rules for formatting headings (up to five levels) within your paper:

Chicago heading hierarchy

These are the formatting rules for different levels of headings in APA style.

If a heading is said to be in title case, that means you should format it as though it were the title of a book, with the first letters of most major words capitalized (e.g., A Study of Color-Blindness in Dogs).

If a heading is said to be in sentence case, that means you should format it as though it were a normal sentence, with only the first letter of the first word (and of any proper nouns) capitalized (e.g., A study of color-blindness in dogs).

You should always use heading levels in this order, beginning with Level 1. So, if you have a paper with two levels of headings, you would use Level 1 formatting for the higher level and Level 2 formatting for the lower level. Similarly, if you have a paper with five levels of headings, you would use Level 1 formatting for the highest level and Level 5 formatting for the lowest level.

12.2.3: Chicago/Turabian: Block Quotations

In Chicago style, format quotations of more than five lines as block quotations.

Learning Objective

Recognize when to use block quotations in Chicago/Turabian

Key Points

A typical quotation is part of a sentence within a paragraph in your paper; however, for longer quotations (more than five lines), format the excerpt as a block quotation.
A block quotation begins on its own line, is not enclosed in quotation marks, and has its in-text citation after the final punctuation.
Block quotations are not double-spaced, unlike the rest of your Chicago style paper.

When to Use a Block Quotation

A typical quotation is enclosed in double quotation marks and is part of a sentence within a paragraph of your paper. However, if a quotation takes up more than five lines in your paper, you should format it as a block quotation rather than as a regular quotation within the text of a paragraph. Most of the standard rules for quotations still apply, with the following exceptions: a block quotation will begin on its own line (skip a line before and after the block quotation), it will not be enclosed in quotation marks, and its in-text citation will come after the ending punctuation, not before it.

For example, if you wanted to quote the first two sentences of Thomas Paine’s “Common Sense”, you would begin that quotation on its own line, indent every line, and format it as follows:

Perhaps the sentiments contained in the following pages, are not YET sufficiently fashionable to procure them general favour; a long habit of not thinking a thing wrong, gives it a superficial appearance of being right, and raises at first a formidable outcry in defense of custom. But the tumult soon subsides. (Paine)

The full reference for this source would then be included in your References section at the end of your paper.

Spacing and Alignment

Each line of the block quotation should be indented from the left margin the same distance as the first lines of your regular body paragraphs. Unlike the rest of your paper, it should be single-spaced. And as with series and lists, to better visually distinguish a block quotation from the surrounding text, be sure to leave an extra (blank) line between the last line of the block quotation and the first line of the following paragraph.

Block quotations

This block quotation is correctly formatted according to Chicago/Turabian style.

12.2.4: Chicago/Turabian: Tables and Figures

Chicago/Turabian style has specific rules for formatting tables and figures.

Learning Objective

Arrange tables and figures in Chicago style

Key Points

Chicago/Turabian specifies two methods for presenting information visually: tables and figures.
A table is a chart that presents numerical information in a grid format.
A figure, by the Chicago/Turabian definition, is any visual that is not a table.
Using a table or a figure as a visual aid can help you strengthen a claim you’re making.

When you need to summarize quantitative data, words can only go so far. Sometimes, using a chart, graph, or other visual representation can be useful in proving your point. However, it’s important to make sure you incorporate this extra information in a way that is easy to understand and in line with the conventions set forth in Chicago/Turabian style.

Chicago/Turabian specifies two methods for representing information visually: tables and figures.

Tables

A table is a chart that presents numerical information in a grid format. In Chicago/Turabian style, you must present a table immediately following the paragraph in which you mentioned it. When you mention a table in the text of your paper, make sure you refer to it by its number (e.g., “Table 1”) rather than with a phrase like “the table below” or “this table.”

Formatting

Format your tables as simply as possible. Do not use bold or italicized text, and do not overuse borders. Generally, you should have only three horizontal lines in your table: one immediately above and one immediately below the column headings, and one at the bottom of the table, to help separate it from the surrounding text. However, Chicago style does allow two exceptions: you may use an additional horizontal line if (1) you need to separate added numbers from their total, or (2) if you have multiple levels of column headings within a table.

Title and Source

Every table should appear flush with the left margin. Immediately above the table, provide its number, followed by a colon, followed by a short but descriptive title:

Table 1: Frog populations in the Willamette River from 2009-2014

Immediately below the table, write the word “Source” (or or “Sources”) in italics, followed by a colon, and then provide the source(s) of the information in the table. Include the same information, with the same formatting, as in a parenthetical citation—i.e., the author’s last name and the page number. End this line with a period:

Source: Rottweiler 67.

Be sure to also include the full citation for this source in your References or Bibliography section. Neither the title nor the source line should be double-spaced.

Sample table

This table is formatted correctly according to Chicago/Turabian formatting rules.

Figures

Treat a figure much as you would treat a table, with two exceptions: (1) you should present a figure immediately after you have referenced it in the text, and (2) all information about the figure, including its number (“Figure 1”) and title (“Frogs in the Willamette River, 2012”) should appear on the line immediately below the figure. The source information should appear on the next line.

Sample figure

This figure is formatted correctly according to Chicago/Turabian formatting rules.

12.3: Chicago/Turabian: Citations and References – Notes and Bibliography (NB) System

12.3.1: Chicago/Turabian (NB): The Bibliography Section

In Chicago NB style, the sources you cite in your paper are listed at the end in the bibliography.

Learning Objective

Arrange the bibliography in a Chicago/Turabian NB paper

Key Points

In Chicago/Turabian style, there are two approaches to formatting your citations: the Author Date system or the Notes and Bibliography (NB) system.
If you are using NB, you will need a bibliography at the end of your paper, in which all the sources you cite throughout the text of your paper are listed together.
The bibliography has its own special formatting rules, including hanging indentation.
In each citation style, formatting differs slightly based on source type; for example, you would format a citation differently if your source was an online book vs. a physical textbook.
There are different citation styles for types of sources, including books, online resources, journals, and many others.

In Chicago/Turabian papers using the Notes and Bibliography (NB) citation system, all the sources you cite throughout the text of your paper are listed together and in full in the bibliography, which comes after the main text of your paper. (If you are using the Author Date citation system, this will be called the References section.)

Formatting the Bibliography

The top of the bibliography page, as the rest of your paper, should still include the page number in the right header. On the first line, the title of the page—“Bibliography”—should appear centered and not italicized or bolded. After the page title, leave two blank lines before your first citation.

Unlike the rest of your paper, this page should not be double-spaced: leave a blank line between each citation, but the citations themselves should not be double-spaced. Your citations should be in alphabetical order by the first word in each citation (usually the author’s last name).

Each citation should be formatted with what is called a hanging indent. This means the first line of each reference should be flush with the left margin (i.e., not indented), but the rest of that reference should be indented one inch from the left margin. Any word-processing program will let you format this automatically so you don’t have to do it by hand. (In Microsoft Word, for example, you simply highlight your citations, click on the small arrow right next to the word “Paragraph” on the home tab, and in the popup box choose “hanging indent” under the “Special” section. Click OK, and you’re done.)

Bibliography

This is an example of a correctly formatted bibliography in Chicago/Turabian NB style.

Constructing a Citation

The first step in building each individual citation is to determine the type of resource you are citing, since in each citation style formatting differs slightly based on source type. Some common types are a book, a chapter from a book, a journal article, an online book or article, an online video, a blog post, and personal communication such as an email or an interview you conducted. (You’ll notice that “website” is not a category by itself. If the information you found is online, you want to determine if you’re looking at an online book, an online article, or some other type of document.) The most important information to have for citing a source will always be the author names, the title, and the publisher information and year of publication.

As an example, let’s look in detail at the process of citing three particular sources in Chicago style: Joseph Conrad’s Heart of Darkness (i.e., a book by one author), Project Gutenberg’s online text of the same book (i.e., an online book), and an online journal article about the book.

Print Sources

Author Name

You always want to start with the author information. You should present the author information in the following order and format: the author’s last name (capitalized), a comma, the author’s first name (capitalized), the author’s middle initial (if given), and then a period:

Conrad, Joseph.

Title of Source

Next, you should include the title of the source in title case. For a book or other standalone source, the title is italicized; otherwise it should be enclosed in quotation marks.

Heart of Darkness.

City of Publication

Next, you want to provide the location of the publisher’s office. The location is generally a city, such as “London” or “New York, NY.”

London:

Publisher Name

Next, provide the publisher’s name, followed by a comma:

Everyman’s Library,

Date of Publication

After the publisher information, you provide the year in which the source was published, followed by a period.

1993.

All together, then, the citation looks like this:

Conrad, Joseph. Heart of Darkness. London: Everyman’s Library, 1993.

Online Sources

Now let’s take a look at the citation for the online version of the same book, available online through the publisher Project Gutenberg (gutenberg.org). Treat the online version of a print book exactly the same as a print book, but with an indication of where you found it online.

Conrad, Joseph. Heart of Darkness. Project Gutenberg, 2006. https://www.gutenberg.org/files/219/219-h/219-h.htm.

Journal Articles and Multiple Authors

NooriBerzenji, Latef S., and Marwan Abdi. “The Image of the Africans in Heart of Darkness and Things Fall Apart.” Interdisciplinary Journal of Contemporary Research in Business 5, no. 4 (2013): 710–726.

Much of this citation will look familiar to you now that you know the basics. Again, we start with the author information. If the source has multiple authors, the citation rules are a little different. The first author will be listed with their surname first (Conrad, Joseph) but subsequent authors will be listed with their first names first (Joseph Conrad). Use the word “and” (not an ampersand,&”) before the last author. Here we have only two authors, but if we had five, the “and” would come before the fifth author’s last name, after the comma following the fourth author’s name.

The date of publication and title are formatted the same. Note that even though Chicago style says that the article title should not be italicized, the book titles within the article title are still italicized.

The new information here begins with citing the journal this article is from. Include the title of the journal in italicized title case (all major words capitalized, as in the title of a book):

Interdisciplinary Journal of Contemporary Research in Business

Then include the journal volume:

If an issue number is provided in addition to the volume number, as it is here, add a comma after the volume number, the abbreviation “no.”, and the issue number:

5, no. 4

Next, list the year of the article’s publication in parentheses, followed by a colon:

(2013):

Finally, list the page numbers of the article, followed by a period [note that the dash between the first and second numbers is an en-dash (–), NOT a hyphen (-) or em-dash (—)]:

710–726.

Multiple Publications by the Same Author

If you are referencing multiple publications by (or group of authors) that were published in the same year, there is a special rule for denoting this. You should first order those articles alphabetically by source title in the bibliography. But then, replace the author’s name in all entries except the first one with an em-dash (—).

Achenbach, Thomas. “Bibliography of Published Studies Using the ASEBA.” Achenbach System of Empirically Based Assessment, 2012. http://www.aseba.org/asebabib.html.
—. “School-Age (Ages 6–18) Assessments.” Achenbach System of Empirically Based Assessment, 2012. http://www.aseba.org/schoolage.html.

12.3.2: Chicago/Turabian (NB): How to Reference Different Types of Sources

In Chicago/Turabian NB style, there are different formats for citations in your bibliography depending on the type of source you are citing.

Learning Objective

List the ways to cite different source types in a Chicago/Turabian bibliography

Key Points

If you are using the Notes and Bibliography (NB) method of Chicago/Turabian style, you will need a bibliography at the end of your paper.
In your bibliography, you will have to create a citation for every source you used in your paper; these citations will be formatted differently depending on the type of source.
There are different citation styles for books, depending on how many authors they have.
There are different citation styles for articles, depending on where you found them.

Key Term

bibliography: A section of a written work containing citations, not quotations, of all the sources referenced in the work.

Now that you know the different components of a book citation in Chicago/Turabian Notes and Bibliography (NB) style and how the citation should be formatted, you will be able to understand the citation formats for other source types. Here are some example citations for the most common types of resources you will use.

Book by One Author

Doyle, Arthur. The Memoirs of Sherlock Holmes. Mineola: Dover Publications, Inc., 2010.

Book by Multiple Authors

Two or More Authors

(Write out all author names.)

Dubner, Stephen, and Steven Levitt. Freakonomics: A Rogue Economist Explores the Hidden Side of Everything. New York: Harper Perennial, 2005.

Brown, Theodore, H. Eugene Lemay, Bruce Bursten, Catherine Murphy, Patrick Woodward, and Matthew Stoltzfus. Chemistry: The Central Science. London: Prentice Hall, 2015.

Book with Author and Editor

Lovecraft, Howard Phillips. Tales. Edited by Peter Straub. New York: Library of America, 2005.

Article in a Journal with Continuous Pagination

Rottweiler, Frank, and Jacques Beauchemin. “Detroit and Sarnia: Two foes on the brink of destruction.” Canadian/American Studies Journal 54 (2012): 66–146.

Article in a Journal Paginated Separately

Rottweiler, Frank, and Jacques Beauchemin. “Detroit and Sarnia: Two foes on the brink of destruction.” Canadian/American Studies Journal 54, no. 2 (2012): 66–146.

Article in an Internet-Only Journal

Marlowe, Philip, and Sarah Spade. “Detective Work and the Benefits of Colour Versus Black and White.” Journal of Pointless Research 11, no. 2 (2001): 123–124. Accessed October 31, 2015. http://www.jpr.com/stable/detectiveworkcolour.htm.

Page on a Web Site

Pavlenko, Aneta. “Bilingual Minds, Bilingual Bodies.” Psychology Today. Last modified October 7, 2015. https://www.psychologytoday.com/blog/life-bilingual/201510/bilingual-minds-bilingual-bodies.

Page on a Web Site, No Author Identified, No Date

“Bilingual Minds, Bilingual Bodies.” Psychology Today. Accessed October 29, 2015. https://www.psychologytoday.com/blog/life-bilingual/201510/bilingual-minds-bilingual-bodies.

12.3.3: Chicago/Turabian (NB): Footnotes and Endnotes

In Chicago/Turabian Notes and Bibliography style, use footnotes or endnotes for citing sources in text.

Learning Objective

Arrange footnotes in Chicago/Turabian NB style

Key Points

A footnote is when you follow a quotation, a paraphrased idea, or a piece of information that otherwise needed to be cited with a superscript number.
An endnote is exactly like a footnote, except the note on what source was used is at the end of the paper rather than the bottom of the page.
There are two steps to creating a footnote. First, you need to place a number in the text to tell the reader what note to look for; then, you need to create the note itself.

Key Terms

endnote: A note at the end of a paper, corresponding to a number in a text, which gives the reader citation information.
footnote: A note at the bottom of the page, corresponding to a number in a text, which gives the reader citation information.

Footnotes and Endnotes

In your paper, when you quote directly from a source in their words, or when you paraphrase someone else’s idea, you need to tell the reader what that source is so the author gets credit for their words and ideas. One method for doing this is creating a footnote.

A footnote is when you follow a quotation, a paraphrased idea, or a piece of information that otherwise needed to be cited with a superscript number (like this.)¹Then, at the bottom of the page, you give a brief indication of where you retrieved that information. Fuller information about that source is then contained in the paper’s bibliography. Think of the footnote as telling the reader where to go in your bibliography to find the source, and the bibliography entry as telling the reader where to go in the real world to find the source.

An endnote is exactly like a footnote, except that endnotes appear all together at the end of the paper, while each footnote appears on the bottom of the same page as its superscripted number.

Creating a Footnote

There are two steps to creating a footnote. First, you need to place a number in the text to tell the reader what note to look for; then, you need to create the note itself. As an example, let’s say we are writing a paper about meerkat populations and we write the following sentences:

As of 2009, the meerkat population has increased by 20% in Eastern Botswana. “It’s thrilling,” says renowned biologist Elizabeth Khama, “The animals are truly making a comeback.”

We need to create footnotes to cite our sources.

Numbering

The first step to creating a footnote is place a number next to the statement that needs to be sourced. To do this, place the number at the end of the sentence it refers to, after all punctuation.

As of 2009, the meerkat population has increased by 20% in Eastern Botswana.¹“It’s thrilling,” says renowned biologist Elizabeth Khama, “The animals are truly making a comeback.”²

Your first footnote of the paper should be numbered 1, your second should be 2, and so on until the end of the paper. If you are writing an exceptionally long paper, such as a doctoral thesis, numbers should restart at the beginning of every chapter.

Creating the Notes

Next, you need to create the note that the number refers to. Every number needs a note. In the note, you will have the author’s name, the title of the work, the publication information, and the page number:

Andrew Byrd, “The Resurgence of the Meerkat,” Southern African Ecology 32, no. 2 (2009): 221.

You only need to create a note that contains all of this information once per paper. If you cite this source again later in the paper (say, in your sixth note), you would simply write the author, title, and page number, separated by commas:

6. Byrd, “The Resurgence of the Meerkat,” 256.

Using “Ibid.”

However, if you cite the exact same source more than once in a row, without citing any other sources in between, there is a special shorthand you can use. Chicago NB style has very specific rules for what to do in this situation. If you cite the same source multiple times in a row, simply write “Ibid.” in each note after the first—this means “this source is the same as the source in the previous note”:

Andrew Byrd, “The Resurgence of the Meerkat,” Southern African Ecology 32, no. 2 (2009): 221.
Ibid.

If you’re citing a different page of the same source, add a comma and the new page number after “Ibid.”:

Andrew Byrd, “The Resurgence of the Meerkat,” Southern African Ecology 32, no. 2 (2009): 221.
Ibid., 225.

Once you cite a different source, your use of “Ibid.” has to start over—you should not use it again until you have multiple notes in a row that cite the same source.

12.3.4: How to Reference Different Types of Sources in Footnotes

Different source types require different citation information when being cited in footnotes.

Learning Objective

List the ways to cite different source types in Chicago/Turabian footnotes

Key Points

Footnotes are like “mini-citations” at the bottom of the page, which direct your reader to a bibliography entry.
Different types of source require different citation information.

Key Term

Notes and Bibliography: A subset of the Chicago/Turabian citation style, which uses footnotes to cite sources in the text.

Footnotes are the preferred citation method for the Chicago/Turabian Notes and Bibliography citation style. When using footnotes, you create what is essentially a “mini-citation” at the bottom of the page. These footnotes guide the reader to the corresponding entry in your bibliography.

Different types of source require different citation information, but they always follow the form of: author, title, publication information, and then either page number or website URL (all separated by commas). And remember, this information will also be contained, in a slightly different form, in your bibliography.

Book by a Single Author

1. Steven Pinker, How the Mind Works (New York: Norton, 1997), 223.

Book by Two to Four Authors

2. Stephen Dubner and Steven Levitt, Freakonomics (New York: William Morrow, 2005), 101.

Book by Five or More Authors

3. Theodore Brown et al., Chemistry: The Central Science (Upper Saddle River: Prentice Hall, 2005), 642.

Journal Article

4. Andrew Byrd, “The Resurgence of the Meerkat,” Southern African Ecology 32, no. 1 (2009): 221.

Electronic Journal Article

5. Andrew Byrd, “The Meerkats Have All Gone Away,” African Ecology Online 18, no. 2 (2006): 169, accessed October 31, 2015, http://www.afrecoonline.org/byrd1.htm.

Website with Author and Publication Date

6. Cara Nelson, “The Top Three Movies of All Time,” Best Movies, last modified June 26, 1993, http://www.bestmovies.com/nelsoncara1.htm.

Website with Unknown Author and Publication Date

7. “Some Cool Movies,” Best Movies, accessed October 14, 2015, http://www.bestmovies.com/anonymous.htm.

12.4: Chicago/Turabian: Citations and References – Author–Date (AD) System

12.4.1: Chicago/Turabian (Author–Date): The References Section

In Chicago Author–Date style, the sources you cite in your paper are listed at the end in the References section.

Learning Objective

Arrange the References section in a Chicago/Turabian Author–Date paper

Key Points

In Chicago/Turabian style, there are two ways of formatting your citations: the Author–Date system or the Notes and Bibliography system (NB). If you are using the Author–Date system, you will need a References section.
All the sources you cite throughout the text of your paper are listed together in the References section at the end of your paper.
The References section has its own special formatting rules, including hanging indentation.
In each citation style, formatting differs slightly based on source type; for example, you would format a citation differently if your source was an online book vs. a physical textbook.
There are different citation styles for types of sources, including books, online resources, journals, and many others.

In Chicago/Turabian papers using the Author–Date citation system, all the sources you cite throughout the text of your paper are listed together in full in the References section, which comes after the main text of your paper. (If you are using NB, this will be called the bibliography.)

Formatting the References Section

The top of the page, as the rest of your paper, should still include the page number in the right header. On the first line, the title of the page—“References”—should appear centered and not italicized or bolded. After the page title, leave two blank lines before your first citation.

Each reference should be formatted with what is called a hanging indent. This means the first line of each reference should be flush with the left margin (i.e., not indented), but the rest of that reference should be indented one inch from the left margin. Any word-processing program will let you format this automatically so you don’t have to do it by hand. (In Microsoft Word, for example, you simply highlight your citations, click on the small arrow right next to the word “Paragraph” on the home tab, and in the popup box choose “hanging indent” under the “Special” section. Click OK, and you’re done.)

References page

This is a correctly formatted References page in Chicago/Turabian Author–Date style.

Constructing a Citation

Print Sources

Author Name

You always want to start with the author information. You should present the author information in the following order and format: the author’s last name, a comma, the author’s first name, the author’s middle initial (if given), and then a period:

Conrad, Joseph.

Title of Source

Next, you should include the title of the source in title case. For a book, the title is italicized.

Heart of Darkness.

City of Publication

Next, you want to provide the location of the publisher’s office. The location is generally a city, such as “London” or “New York, NY.”

London:

Publisher Name

Next, provide the publisher’s name, followed by a comma:

Everyman’s Library,

Date of Publication

Now provide the year in which the source was published, followed by a period.

1993.

All together, then, the citation looks like this:

Conrad, Joseph. Heart of Darkness. London: Everyman’s Library, 1993.

Online Sources

Conrad, Joseph. Heart of Darkness. Project Gutenberg, 2006. https://www.gutenberg.org/files/219/219-h/219-h.htm.

Journal Articles and Multiple Authors

NooriBerzenji, Latef S., and Marwan Abdi. “The Image of the Africans in Heart of Darkness and Things Fall Apart.” Interdisciplinary Journal of Contemporary Research in Business 5, no. 4 (2013): 710–726.

Much of this citation will look familiar to you now that you know the basics. Again, we start with the author information. If the source has multiple authors, the citation rules are a little different. The first author will be listed with their surname first (Conrad, Joseph) but subsequent authors will be listed with their first names first (Joseph Conrad). Use the word “and” (not an ampersand, &) before the last author. Here we have only two authors, but if we had five, the “and” would come before the fifth author’s last name, after the comma following the fourth author’s name.

The date of publication and title are formatted the same. Note that even though APA style says that the article title should not be italicized, the book titles “Heart of Darkness” and “Things Fall Apart” within the article title are still italicized.

The new information here begins with citing the journal this article is from. Include the title of the journal in italicized title case (all major words capitalized, as in the title of a book):

Interdisciplinary Journal of Contemporary Research in Business

Then include the journal volume:

If an issue number is provided in addition to the volume number, as it is here, add a comma after the volume number, the abbreviation “no.”, and the issue number:

5, no. 4

Next, list the year of the article’s publication in parentheses, followed by a colon:

(2013):

Finally, list the page numbers of the article, followed by a period [note that the dash between the first and second numbers is an en-dash (–), NOT a hyphen (-) or em-dash (—)]:

710–726.

Multiple Publications by the Same Author

If you are referencing multiple publications by (or group of authors) that were published in the same year, there is a special rule for denoting this. You should first order those articles alphabetically by source title in the References section. But then, replace the author’s name in all entries except the first one with an em-dash (—).

Achenbach, Thomas. “Bibliography of Published Studies Using the ASEBA.” Achenbach System of Empirically Based Assessment, 2012. http://www.aseba.org/asebabib.html.
—. “School-Age (Ages 6–18) Assessments.” Achenbach System of Empirically Based Assessment, 2012. http://www.aseba.org/schoolage.html.

12.4.2: Chicago/Turabian (Author–Date): How to Reference Different Types of Sources

In Chicago/Turabian style, there are different formats for citing sources at the end of your paper depending on the type of source.

Learning Objective

List the ways to cite different source types in Chicago/Turabian Author–Date style

Key Points

If you are using the Author–Date method of Chicago/Turabian style, you will need a References section at the end of your paper.
In your References section, you will have to create a citation for every source you used in your paper; these citations will be formatted differently depending on the source type.
There are different citation styles for books, depending on how many authors they have.
There are different citation styles for articles, depending on where you found them.
There are ways to format sources that are not books or articles.

Key Term

Author–Date: A subset of the Chicago/Turabian citation style that uses in-text citations and a References page at the end.

Now that you know the different components of a book citation in Chicago/Turabian Author–Date style and how they should be formatted, you will be able to understand the citation formats for other source types. Here are some example citations for the most common types of resources you will use. These are how your citations will be formatted on your References page at the end of your Author–Date style paper.

Book by One Author

Doyle, Arthur. The Memoirs of Sherlock Holmes. Mineola: Dover Publications, Inc., 2010.

Book by Multiple Authors

Two or More Authors

(Write out all author names.)

Dubner, Stephen, and Steven Levitt. Freakonomics: A Rogue Economist Explores the Hidden Side of Everything. New York: Harper Perennial, 2005.

Brown, Theodore, H. Eugene Lemay, Bruce Bursten, Catherine Murphy, Patrick Woodward, and Matthew Stoltzfus. Chemistry: The Central Science. London: Prentice Hall, 2015.

Book with Author and Editor

Lovecraft, Howard Phillips. Tales. Edited by Peter Straub. New York: Library of America, 2005.

Article in a Journal with Continuous Pagination

Rottweiler, Frank, and Jacques Beauchemin. “Detroit and Sarnia: Two Foes on the Brink of Destruction.” Canadian/American Studies Journal 54 (2012): 66–146.

Article in a Journal Paginated Separately

Rottweiler, Frank, and Jacques Beauchemin. “Detroit and Sarnia: Two Foes on the Brink of Destruction.” Canadian/American Studies Journal 54, no. 2 (2012): 66–146.

Article in an Internet-Only Journal

Page on a Web Site

Page on a Web Site, No Author Identified, No Date

“Bilingual Minds, Bilingual Bodies.” Psychology Today. Accessed October 29, 2015. https://www.psychologytoday.com/blog/life-bilingual/201510/bilingual-minds-bilingual-bodies.

12.4.3: Chicago/Turabian (Author–Date): In-Text References and Parentheticals

In Chicago/Turabian Author–Date style, in-text citations follow strict formatting rules.

Learning Objective

Arrange in-text citations in Chicago/Turabian Author–Date style

Key Points

In-text citations are where you tell the reader, within the text of your paper, the author’s name and the date the source was published.
The correct formatting for an in-text citation varies depending on how many authors created the source being cited.
Formatting also varies depending on whether you cite the same source more than once, or whether you cite multiple works by the same author.

Key Term

parenthetical: A word or phrase within parentheses.

In your paper, when you quote directly from a source in the author’s words, or when you paraphrase someone else’s idea, you need to tell the reader where the words and ideas comes from so the original author gets credit. When you do this within the text the reader the author’s name and the date the source was published in the text of your paper, this is called an in-text citation.

The Chicago/Turabian citation style uses in-text citations only in its Author–Date method, which is generally used for social science papers and is explained below. If your professor asks you to cite sources with footnotes and bibliography rather than in-text citations, make sure you use the Notes and Bibliography (NB) method rather than the Author–Date method described here.

Source by a Single Author

To cite this type of reference in the text, you should use what is known as a parenthetical—citation information enclosed in parentheses—at the end of the relevant sentence. The parenthetical should include the author’s last name (with no first or middle initial) followed by the year the source was published. If you’re citing a direct quote, you also need to include the page number after a comma. For example:

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling 2005).
Social representations theory “proposes a new hypothesis…” (Pauling 2005, 113).

If you choose, you can integrate the author’s name into the sentence itself—this is known as a “signal phrase”—and provide just the year in parentheses:

Pauling (2005) posits that …

Source by Two or Three Authors

Authors should be presented in the order in which they are listed on the published article. If you include the authors’ names in the parenthetical, use the word “and” between the two names. For example:

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling and Liu 2005).

You may still choose to use a signal phrase instead, but make sure you keep both authors in it:

Pauling and Liu (2005) posit that …

Source by Four or More Authors

For an article with more than four authors, the first time you cite the article in the text of your paper, you should use only the first author’s name followed by “et al.” and the year of publication. (“Et al.” is short for “et alia,” which means “and other people” in Latin—much like “etc.” is short for “et cetera,” which means “and other things” in Latin.)

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling et al. 2005).

Using a signal phrase:

Pauling et al. (2005) posit …

Citing Multiple Publications by Different Authors

If you need to cite multiple publications by different authors in the same sentence, you should list the multiple sources in alphabetical order by author and use a semicolon to separate them.

… majority (Alford 1995; Pauling 2004; Sirkis 2003).

If within this citation you also have multiple sources by the same author, after that author’s name, separate the multiple dates of publication with a comma, and order them chronologically (earliest to latest).

… majority (Alford 1995; Pauling 2004, 2005; Sirkis 2003).

Citing Multiple Publications by the Same Author

If you need to cite multiple publications by the same author within a sentence, you use a comma to separate the years of publication in chronological order (oldest to most recent).

… majority (Pauling 2004, 2005).

Using a signal phrase:

Pauling (2004, 2005) suggests that …

Chapter 11: Writing a Paper in APA Style (Social Sciences)

11.1: Introduction to APA Style

11.1.1: When to Use APA Style

APA style, which is based on the American Psychological Association style manual, is widely used in many forms of academic writing.

Learning Objective

Recognize when to use APA style in writing

Key Points

APA style is one of the most common citation and formatting styles you will encounter in your academic career.
APA style is based on the style guide of the American Psychological Association (APA), officially titled the Publication Manual of the American Psychological Association.
APA style is not used only in the field of psychology; it is extremely common throughout the social and behavioral sciences.
APA style provides guidelines for grammar, formatting, and citing your sources.

Key Term

APA style: A common citation and formatting style, used especially often in the social and behavioral sciences.

APA style is one of the most common citation and formatting styles you will encounter in your academic career. Any piece of academic writing can use APA style, from a one-page paper to a full-length book. It is widely used by hundreds of scientific journals and many textbooks. If you are writing a paper for a psychology or sociology class, it is possible that your professor will ask you to write in APA style.

The APA Manual

APA style is based on the style guide of the American Psychological Association (APA), officially titled the Publication Manual of the American Psychological Association. But APA style is not used only in the field of psychology; in fact, it is extremely common throughout the social and behavioral sciences, and somewhat common in other scientific fields, such as medicine.

The most recent version of the APA manual is the sixth edition, second printing (which corrected errors found in the first printing), published in 2009. The sixth edition introduced guidelines for citing online sources and online-access journal articles.

The Purpose of APA Style

The APA style guide aims to accomplish several goals:

to ensure consistent formatting and presentation of information, for the sake of clarity and ease of navigation;
to ensure proper attribution of ideas to their original sources, for the sake of intellectual integrity; and
to provide a clear structural scaffold for an experimental paper, for the sake of scientific rigor.

Grammar and Formatting

APA style includes many basic grammatical rules. For example, APA style does use the Oxford comma, which some other citation styles (e.g., AP style) do not. Other examples include rules about what punctuation should be included inside a quotation and when to use what type of dash.

APA style also has rules about formatting, such as how to use different levels of headers throughout your paper and what size margins you should use.

Citations

APA style also puts forth guidelines for citing your sources—in fact, this is why it is called a “citation style.” For example, APA style has specific rules for what information to include in your References section, how to cite quotations within a paragraph, and how to incorporate block quotations.

The Scientific Method

APA style rules are not limited to grammar and formatting; in fact, it was originally developed as a set of guidelines for writing without bias in the sciences. The guidelines for reducing bias in language have been updated over the years and provide practical guidance for writing about race, ethnicity, age, gender, sexual orientation, and disability status.

APA style provides a roadmap for the structure of a scientific paper that closely mirrors the scientific method, with sections for the Introduction (including your hypothesis), Method, Results, and Discussion.

11.1.2: Overall Structure and Formatting of an APA Paper

Every paper written in APA style has the same basic structural elements.

Learning Objective

Identify the structural elements of an APA paper

Key Points

An APA paper should include a title page, an abstract, a body, references, and in some cases, a table of contents and/or endnotes.
There are specific APA guidelines for font (12pt Times or Times New Roman), line spacing (double-spaced), margins (1 inch), indentation, and page numbering.
When writing an APA paper, be sure to use the Oxford comma, and only use one space following periods.
Listen to your professor’s specific guidelines if they want you to use a table of contents.

Key Term

Oxford comma: The comma that comes after the second to last item in a list.

Overall Structure of an APA Paper

Your APA paper should include the following basic elements:

Title page
(In rare cases) Table of contents
Abstract
Body
References
(In rare cases) Endnotes

General Formatting Rules

Font

Your paper should be written in 12-point Times or Times New Roman font.

Line Spacing

All text in your paper should be double-spaced.

Margins

All page margins (top, bottom, left, and right) should be 1 inch (or greater, but 1 inch is standard). All text, with the exception of headers, should be left-justified.

Indentation

The first line of every paragraph and footnote should be indented 1 inch (with the exception of the first line of your Abstract, which should begin at the margin).

Page Numbers

Page numbers in Arabic numerals (1, 2, 3…) should appear right-justified in the header of every page, beginning with the number 1 on the title page. Most word-processing programs have the ability to automatically add the correct page number to each page so you don’t have to do this by hand.

General Grammar Rules

The Oxford Comma

The Oxford comma (also called the serial comma) is the comma that comes after the second-to-last item in a series or list. For example:

The UK includes the countries of England, Scotland, Wales, and Northern Ireland.

In the above sentence, the comma immediately after “Wales” is the Oxford comma.

In general writing conventions, whether the Oxford comma should be used is actually a point of fervent debate among passionate grammarians. However, it’s a requirement in APA style, so double-check all your lists and series to make sure you include it!

Capitalization After Colons and Em Dashes

If you have a colon or em dash (—) in the middle of a sentence, and what follows after is an independent clause (i.e., it could be a sentence on its own), the word after the colon or em dash should be capitalized (as though the following sentence were on its own). For example:

There was only one possible explanation: The train had never arrived.

Here, “The train had never arrived” could stand as its own sentence because it is an independent clause (i.e., it has both a subject—the train—and a verb phrase—had never arrived). Therefore, we capitalize its first word following the colon.

However, if we make one small change to this sentence, the rule changes:

There was only one possible

person

to blame: the train conductor.

Here, “the train conductor” cannot stand as its own sentence, so its first word following the colon is not capitalized.

Sentence Spacing

It used to be convention to type two spaces after every period—for example:

“Mary went to the store. She bought some milk. Then she went home.”

This convention was developed when typewriters were in use; the space on a typewriter was quite small, so two spaces were needed to emphasize the end of a sentence. However, typewriters, and therefore this practice, are now obsolete—in fact, using two spaces after sentences is now generally frowned upon. APA style in particular includes an explicit rule to use only single spaces after periods:

“Mary went to the store. She bought some milk. Then she went home.”

A Note on the Table of Contents

Because APA style is so often used for journal articles, which appear as part of a larger body of work, it does not provide guidelines for tables of contents for the individual papers themselves. If your professor asks you to include a table of contents in your paper, they will give you their own guidelines for formatting.

11.2: APA: Structure and Formatting of Specific Elements

11.2.1: APA: Title Page and Running Head

APA papers have a title page and a “running head,” or a line at the top of every page to identify the paper.

Learning Objective

Arrange the title page and running head correctly in an APA paper

Key Points

Your title page should be double-spaced, just like the rest of your paper. Center the information on the title page horizontally and vertically.
Your title page should include the title of your paper, your name, and the name of your school.
The running head is unique to APA style. It makes the paper identifiable without using the name of the author.

Key Term

running head: A header that does not contain the author’s name, so that the paper can be evaluated without bias.

Title Page

Like the rest of your paper, your whole title page should be double-spaced. The following information should be centered horizontally and vertically on the title page:

on the first line, the full title of your paper
on the second line, your name
on the third line, the name of the institution you are affiliated with (e.g., the name of your school)

These elements should not be bolded, underlined, or italicized.

Running Head

The running head is an element unique to APA style. The purpose of the running head is to make the paper identifiable without using the name of the author; this style is commonly used in journal articles, since journals need to be able to evaluate a paper without bias toward the author.

Left-justified in the header (i.e., at the very top) of your title page, you should have the text “Running head:” followed by an abbreviated title of your paper in all caps. This is usually the first several words of your title and cannot exceed 50 characters in length (including spaces). The abbreviated title, still in all caps, should then appear at the same place—left-justified in the header—on every following page of your paper, but without the text “Running head:” preceding it (that should appear only on the title page).

Any word-processing program should allow you to edit the page header so that the same information appears on every page. You will have to change the options so that the first page is different, so you can include the text “Running head:” only on the title page. Your header and footer should appear 0.5 inches from the edge of the page—this is also an option you can change in your word-processing program.

Title page

This is an example of a title page properly formatted in APA style.

11.2.2: APA: Abstract

An APA abstract should summarize your entire paper and should be formatted according to the APA style guide.

Learning Objective

Arrange the abstract correctly in an APA paper

Key Points

Your abstract should appear by itself on page 2 of your paper; it should be no more than 250 words and should summarize your entire paper.
The entire abstract should be only one, non-indented paragraph.
Some abstracts must include keywords.

Key Term

abstract: A brief summary of a paper.

Your abstract should appear by itself on page 2 of your paper. Recall that the running head should now appear left-justified in the header on this page and on every page that follows. (Also recall that, starting on this page, the running head should be only your abbreviated title in all caps, without the words “Running head:” at the beginning.)

Content

Your abstract should be no more than 250 words and should summarize your entire paper, from literature review to discussion.

Formatting

This page should simply be titled “Abstract”; the title should be centered (and not bolded, underlined, or italicized) and should appear in the first line. The abstract itself should start on the following line.

The entire abstract should be only one paragraph, and it is the only paragraph in your paper that is not indented at the beginning—the entire paragraph should be left-justified along the margin.

Any number that appears in the abstract should be written as a numeral (e.g., 1.5, 300) rather than spelled out (e.g., one and a half, three hundred) unless it begins a sentence—then it should be spelled out (e.g., “Three hundred children ate 1.5 sandwiches each”).

Keywords (Optional)

APA style also includes guidelines for providing keywords under your abstract, but this is only required in some situations. If your professor doesn’t mention it, you probably don’t need to include them.

That said, if you do need to include keywords, they should appear on the line immediately after the last line of your abstract. Begin the list with the italicized word “Keywords:”. Then, include a list of 3–10 words or phrases relevant to your paper topic; separate them with commas, and do not end with a period. For example, if you’re writing about people’s experiences of anxiety in stressful situations, you might include the keywords “anxiety” and “stress.”

Abstract

This is an example of an abstract properly formatted in APA style.

11.2.3: APA: Headings

In APA style, headings are used to organize your writing and give it a hierarchical organization.

Learning Objective

Order headings correctly in APA style

Key Points

In APA style, headings are used to organize your writing and give it a hierarchical organization.
There can be up to five levels of headings in your paper. Some use title case, some use sentence case.

Key Terms

title case: A format in which the first letters of major words are capitalized.
sentence case: A format in which only the first major word (and any proper noun) is capitalized.

In APA style, headings are used to organize your writing and give it a hierarchical organization. This is especially important in papers that present experimental research because they follow the particularly rigid structure of the scientific method.

APA style puts forth specific rules for formatting headings (up to five levels) within your paper:

APA heading hierarchy

These are the formatting rules for different levels of headings in APA style.

Your headings should not begin with section numbers (e.g., your Methods section should be titled simply “Methods”, not “2. Introduction”).

The introduction of the paper should not be titled “Introduction”; instead, the paper should simply begin with the title of the entire paper. Note that the “Abstract” title and the overall paper title do not actually count as headings, so they are simply centered and in title case, but not bolded as Level 1 headings would be. This means that the first heading you use in your introduction will follow Level 1 formatting, because it is the first and so at the highest level.

11.2.4: APA: Series and Lists

In APA style, there are specific formats for series and lists.

Learning Objective

Distinguish between correctly formatted lists and series in APA style

Key Points

If you are including a simple, relatively short list of three to five elements, format it as a “series.”
If you have more than five elements, or your elements are complex or important, format it as a “list.”
Use a bulleted list if the order of the atoms doesn’t matter.
Use a numbered list if the order of the atoms does matter.

Key Terms

series: A simple, relatively short list of three to five items within a paragraph.
element: An item within a series or list.

Series

If you are including a simple, relatively short list of three to five items within a paragraph—also known as a series—the proper formatting is to: (a) precede the list with a comma, (b) label each item with a lowercase letter enclosed in parentheses, and (c) separate each item with commas or semicolons. The items within a series or a list are known as “elements.”

As is standard in most style guides, use semicolons rather than commas to separate the elements of the series if at least one of the elements includes a comma somewhere within it (known as an “internal comma”). For example: “Josie was so hungry she ate: (a) the brownie; (b) the cupcake, wrapper and all; and (c) the bowl of ice cream.” Do not capitalize the first letter of each element (e.g., do not write: (a) The brownie; (b) The cupcake, wrapper and all; and (c) The bowl of ice cream.)

Lists

You will want to use a list rather than a series if any of the following is true:

you have more than five elements,
your elements are complex phrases or full sentences, or
the information is important enough to deserve being visually distinguished from the rest of the text of your paper.

Lists differ from series in that they appear separate from a paragraph rather than embedded within it. However, the same rules of capitalization and of using commas or semicolons to separate the elements apply.

Unlike a series, a list can include elements that are all full sentences, or even paragraphs. If this is the case, each element should end with a period, rather than a comma or semicolon, and should begin with a capital letter.

To better visually distinguish a list from the surrounding text, be sure to leave an extra (blank) line between the last line of the list and the first line of the following paragraph.

Bulleted Lists

You should use a bulleted list if the order of the items doesn’t matter. Each element of the list should start on a new line. The bullet points should be indented one inch from the left page margin, and the text of each element should be indented a further 0.5 inches from the bullet point itself.

Numbered Lists

If the order of your elements does matter—e.g., if you’re outlining a step-by-step process, a summary of how an event unfolded over time, or a series of items in order of importance—you will need to use a numbered list.

As with a bulleted list, each element should start on a new line. The first element should begin with the number 1, the second with the number 2, and so on. These numbers should be followed by periods, and the text of each element should be indented a further 0.5 inches from the beginning number.

11.2.5: APA: Block Quotations

In APA style, format quotations of more than 40 words as block quotations.

Learning Objective

Recognize when to use block quotations in APA style

Key Points

A typical quotation is part of a sentence within a paragraph in your paper; however, for longer quotations (more than 40 words), format the excerpt as a block quotation.
A block quotation begins on its own line, is not enclosed in quotation marks, and has its in-text citation after the final punctuation.
Block quotations are double-spaced, like the rest of your APA paper.

Key Term

block quotation: A way of formatting a particularly long excerpt or quotation in a paper.

When to Use a Block Quotation

A typical quotation is enclosed in double quotation marks and is part of a sentence within a paragraph of your paper. However, if you want to quote more than 40 words from a source, you should format the excerpt as a block quotation, rather than as a regular quotation within the text of a paragraph. Most of the standard rules for quotations still apply, with the following exceptions: a block quotation will begin on its own line, it will not be enclosed in quotation marks, and its in-text citation will come after the ending punctuation, not before it.

For example, if you wanted to quote the entire first paragraph of Lewis Carroll’s Alice in Wonderland, you would begin that quotation on its own line and format it as follows:

Alice was beginning to get very tired of sitting by her sister on the bank, and of having nothing to do: once or twice she had peeped into the book her sister was reading, but it had no pictures or conversations in it, ‘and what is the use of a book,’ thought Alice ‘without pictures or conversations?’ (Carroll, p. 98)

The full reference for this source would then be included in your References section at the end of your paper.

Spacing and Alignment

The entire block quotation should be indented from the left margin the same distance as the first lines of your paragraphs (and the first line should not be further indented). As the rest of your paper, it should be double-spaced. And as with series and lists, to better visually distinguish a block quotation from the surrounding text, be sure to leave an extra (blank) line between the last line of the block quotation and the first line of the following paragraph.

Block quotation

This block quotation is properly formatted in APA style.

11.3: APA: Empirical Research Papers

11.3.1: APA: Reporting Statistics

Because papers using APA style often report experimental data, you must be able to discuss statistics in your paper.

Learning Objective

Identify correctly formatted statistics according to APA style

Key Points

Since experimental papers in the social sciences are usually written in APA style, you will need to know how to properly talk about statistics in the text of your paper.
Never never report a statistic in the text of your paper that is already evident in a table or figure, or report a statistic in a table which is reported in your text.
Always italicize statistical variables.
Summarize important statistical relationships in clear, plain English.

Key Term

statistic: A numerical figure from experimental data.

Since experimental papers in the social sciences are usually written in APA style, you will need to know how to properly talk about statistics in the text of your paper.

General Rules

You should never mention a statistic in the text of your paper that is already evident in a table or figure, and vice versa.

Be sure to italicize statistical variables (e.g., p-value; t-test, F-test).

Clarity

To place the focus on the meaning of your statistical tests and their relevance to your overall argument, you should summarize each statistical relationship in clear, plain English. Also, include the important values in parentheses, and the test information and significance at the end of the sentence. For example, rather than writing this:

The mean anxiety score for women was 43.5, and the mean anxiety score for men was 47.9. This difference was significant; a t-test found a t-score of 2.34, and the p-value was 0.01.

You should write this:

In terms of their scores on the Anxiety Scale, women
were found to be significantly more anxious than men
,

(
stands for “mean”—meaning average—and
stands for “standard deviation.”)

Reporting statistics

This figure shows the proper way to report statistics in an APA-style paper.

11.3.2: APA: Tables and Figures

APA style has specific rules for formatting tables and figures.

Learning Objective

Arrange tables and figures in APA style

Key Points

APA specifies two methods for presenting information visually: tables and figures.
A table is a chart that presents numerical information in a grid format.
A figure, by the APA definition, is generally a graph or visual representation of a process; in rare cases it can also be a photograph.
Using a table or a figure as a visual aid can help you strengthen a claim you’re making.

APA specifies two methods for representing information visually: tables and figures.

Tables

A table is a chart that presents numerical information in a grid format. APA style recommends that a table be used only for particularly complex data or large data sets; if your table has only one or two columns, you should summarize the information within the text of a paragraph instead.

In APA style, you must include each table on its own separate page at the very end of your paper, after the References section. (Note that these pages should still include the running head and page number.) Because tables are in a separate section, you must refer to each one in the text of your paper by its number (e.g., “Table 1”) so the reader knows where it is relevant.

Formatting

Format your tables as simply as possible. Do not use bold or italicized text (unless you are talking about a variable or statistical test that requires such formatting).

APA style has strict rules about how to format the borders, or the lines, of your table. Generally, for simpler tables, you should have only three horizontal lines: one immediately above and one immediately below the column headings, and one at the bottom of the table.

Simple table

This table is properly formatted in APA style, using only three horizontal borders.

If you have a more complex table—e.g., one that has multiple layers of column headers or sections of data—you may sparingly use additional horizontal lines as visual separators.

Complicated table

This more complicated table is properly formatted in APA style; it uses more than three horizontal borders to clearly separate the different sections.

Title and Source

Every table should appear flush with the left margin. Immediately above the table, provide its number (e.g., “Table 1”), and then on the next line provide a short but descriptive title in italicized title case.

If your table includes any abbreviations that need defining, or statistics whose significance levels need noting, immediately below the table, write the word “Note” in italics, followed by a colon, and then provide the needed explanation.

If your table comes from another source, you need to add that source to your References section. Using the same formatting, you should also place that information immediately below your table, following the word “Source” in italics.

Figures

In APA style, you must also include each figure on its own separate page at the end of your paper; this section of figures should appear after the section of tables. (Note that these pages should also still include the running head and page number.)

Because figures appear separate from the body of your paper, you must refer to each one in the text of your paper by its number (e.g., “Figure 1”) so the reader knows where it is relevant.

Formatting

APA style has strict rules about how to create and format your figures.

Any text in a figure (e.g., axis labels, legend labels) should be in a sans-serif font, between 8pt and 14pt in size.
One-column figures (e.g., a graph with a single panel) should be between 2 and 3.25 inches in width.
Two-column figures (e.g., a graph with two panels) should be between 4.25 and 6.875 inches in width.

Single-panel figure

This is a single-panel figure properly formatted in APA style.

Title and Caption

Every figure should appear flush with the left margin. Immediately below the figure, provide its number (e.g., “Figure 1”) in italics, followed by a period, followed by a brief but descriptive title (called a “figure caption”) in sentence case. For example:

Figure 1. Average self-reported anxiety of 18- to 24-year-old women in response to perceived social slight.

If your figure includes any abbreviations that need defining, or statistics whose significance levels need noting, include this information in the figure caption. For example:

Figure 1. Average self-reported anxiety of 18- to 24-year-old women in response to perceived social slight.

The title of the figure should not appear in the figure itself—it should appear only in the caption beneath the figure.

Three-panel figure

This is a three-panel figure properly formatted in APA style.

11.4: APA: Citations and References

11.4.1: APA: The References Section

In APA style, the sources you cite in your paper are listed all together at the end, in the References section.

Learning Objective

Arrange the References section in APA style

Key Points

In APA style, all the sources you cite throughout the text of your paper are listed together in the References section.
The References section has its own special formatting rules, including double-spaced text and hanging indentation.
How you should format each individual citation differs differs slightly based on source type; there are different citation styles for books, online resources, journals, and many others.

Key Term

hanging indent: A formatting style for citations in APA Reference pages in which every line except the first is an inch away from the left margin.

In APA style, all the sources you cite throughout the text of your paper are listed together, and more fully, in the References section, which comes after the main text of your paper.

Formatting the References Section

The top of the page, as the rest of your paper, should still include the running header on the left and the page number on the right. On the first line, the title of the page—“References”—should appear centered and not italicized or bolded. (As is the case with the “Abstract” page title, this does not count as an actual heading, so it is not formatted per the heading guidelines.) And, like the rest of your paper, this page should also be double-spaced.

Starting on the next line after the page title, your references should be listed in alphabetical order by author. Multiple sources by the same author should be listed chronologically by year within the same group.

References

This is an example of the first page of a References section properly formatted in APA style.

Constructing a Citation

As an example, let’s look in detail at the process of citing three particular sources in APA style: Joseph Conrad’s Heart of Darkness (i.e., a book by one author), Project Gutenberg’s online text of the same book (i.e., an online book), and an online journal article about the book.

Print Sources

Author Name

You always want to start with the author information. You should present the author information in the following order and format: the author’s last name (capitalized), a comma, the author’s first initial, then a period, and finally their middle initial and period (if given):

Conrad, J.

Date of Publication

After the author’s name, you provide the year, inside parentheses, in which the source was published, followed by a period. It may look odd, but make sure your period is outside the parentheses.

(1993).

Title of Source

Next, you should include the title of the source in sentence case. For a book, the title is italicized.

Heart of darkness.

City of Publication

Next, you want to provide the location of the publisher’s office. The location is generally a city, such as “London” or “New York, NY.”

London:

Publisher Name

Next, provide the publisher’s name, followed by a period:

Everyman’s Library.

All together, then, the citation looks like this:

Conrad, J. (1993). Heart of darkness. London: Everyman’s Library.

Online Sources

Now let’s take a look at the citation for the online version of the same book, available online through Project Gutenberg (gutenberg.org). Much of the citation is the same:

Conrad, J. (2006). Heart of darkness. Project Gutenberg. Retrieved from https://www.gutenberg.org/files/219/219-h/219-h.htm

Journal Articles and Multiple Authors

NooriBerzenji, L. S., & Abdi, M. (2013). The image of the Africans in Heart of Darkness and Things Fall Apart. Interdisciplinary Journal of Contemporary Research in Business, 5(4), 710–726.

Much of this citation will look familiar to you now that you know the basics. Again, we start with the author information. This article has multiple authors, so we list them in the same order in which they are listed in the source, and in the same format as before (last name, first initial, middle initial), separated by commas. The last author should also have an “and” sign, or ampersand (&), before it. Here we have only two authors, but if we had five, the ampersand would come before the fifth author’s last name, after the comma following the fourth author’s name.

The new information here begins with citing the journal this article is from. Include the title of the journal in italicized title case (all major words capitalized, as in the title of a book), followed by a comma:

Interdisciplinary Journal of Contemporary Research in Business,

Then include the journal volume, also italicized:

If the particular journal you’re citing lists an issue number in addition to the volume number, as this one does, include it in parentheses immediately after the volume, and do not italicize it. Then follow it with a comma.

5(4),

Finally, list the page numbers of the article, followed by a period [note that the dash between the first and second numbers is an en-dash (–), not a hyphen (-) or em-dash (—)]:

710–726.

Multiple Publications by the Same Author in the Same Year

If you are referencing multiple publications by the same author (or group of authors) that were published in the same year, there is a special rule for denoting this. You should first order those articles alphabetically by source title in the References section. Then, append a lowercase letter in alphabetical order to the end of each year of publication:

Achenbach, T. M. (2012a). Bibliography of published studies using the ASEBA. Retrieved March 25, 2012, from Achenbach System of Empirically Based Assessment: http://www.aseba.org/asebabib.html
Achenbach, T. M. (2012b). School-age (ages 6–18) assessments. Retrieved March 18, 2012, from Achenbach System of Empirically Based Assessment: http://www.aseba.org/schoolage.html

A Note on Capitalization

In the guidelines for citing different types of sources in APA style, you will notice several different patterns in capitalizing source titles. A work that stands on its own—a book, a painting, a film, etc.—should be written in italicized title case (every major word capitalized). A source that is part of a larger work—a chapter in an anthology, an article in a journal, a web page, etc.—should be written in sentence case and not italicized. (Recall that sentence means that just the first word and proper nouns are capitalized, as well as the first word after a colon, if there are any). As an example, compare the citations of Heart of Darkness and the NooriBerzenji & Abdi (2013) article.

11.4.2: APA: How to Reference Different Types of Sources

In APA style, there are different formats for citing sources at the end of your paper depending on the type of source.

Learning Objective

List the ways to cite different source types in APA style

Key Points

In your References section, you will have to create a citation for every source you used in your paper; these citations will be formatted differently depending on the source type.
There are different citation styles for books, depending on how many authors they have.
There are different citation styles for articles, depending on where you found them.
There are ways to format sources that are not books or articles.

Key Term

ellipsis: A punctuation mark consisting of three periods in a row, used to indicate an omission, a pause, or additional, unmentioned list items.

Now that you know the different components of a book citation in APA style and how they should be formatted, you will be able to understand the citation formats for other source types. Here are some example citations for the most common types of resources you will use.

Book by One Author

Sherman, R. D. (1956). The terrifying future: Contemplating color television. San Diego: Halstead.

Book by Multiple Authors

Two Authors

Kurosawa, J., & Armistead, Q. (1972). Hairball: An intensive peek behind the surface of an enigma. Hamilton, ON: McMaster University Press.

Three to Seven Authors

Brown, T. E., LeMay, H. E., Bursten, B. E., Murphy, C., & Woodward, P. (2011). Chemistry: The central science. London: Prentice Hall.

More than Seven Authors

List the first six authors, then an ellipsis, then the final author.

Hughes-Hallett, D., Gleason, A. M., McCallum, W. G., Lomen, D. O., Lovelock, D., Tecosky-Feldman, J., … Lock, P. F. (2008). Calculus: Single variable. Hoboken, NJ: Wiley.

Article in an Edited Book

Stanz, R. F. (1983). Practical methods for the apprehension and sustained containment of supernatural entities. In G. L. Yeager (Ed.), Paranormal and occult studies: Case studies in application (pp. 42–64). London, England: OtherWorld Books.

Article in a Journal with Continuous Pagination

Rottweiler, F. T., & Beauchemin, J. L. (1987). Detroit and Sarnia: Two foes on the brink of destruction. Canadian/American Studies Journal, 54. 66–146.

Article in a Journal Paginated Separately

Crackton, P. (1987). The Loonie: God’s long-awaited gift to colourful pocket change? Canadian Change, 64(7), 34–37.

Article in an Internet-Only Journal

Blofeld, H. V. (1994, March 1). Expressing oneself through Persian cats and modern architecture. Felines & Felons, 4, Article 0046g. Retrieved October 3, 1999, from http://journals.f+f.org/spectre/vblofeld-0046g.html

Page on a Web Site

Pavlenko, A. (2015, October 7). Bilingual minds, bilingual bodies. Psychology Today. Retrieved from https://www.psychologytoday.com/blog/life-bilingual/201510/bilingual-minds-bilingual-bodies

Page on a Web Site, No Author Identified, No Date

Bilingual minds, bilingual bodies. (n.d.). Psychology Today. Retrieved from https://www.psychologytoday.com/blog/life-bilingual/201510/bilingual-minds-bilingual-bodies

11.4.3: APA: In-Text Citations and Parentheticals

In APA style, there are different formats for citing sources in text depending on the type of source.

Learning Objective

Arrange in-text citations in APA style

Key Points

In-text citations are where you tell the reader, within the text of your paper, the author’s name and the date the source was published.
The correct formatting for an in-text citation varies depending on how many authors created the work being cited.
Formatting also varies depending on whether you cite the same source more than once, or whether you cite multiple works by the same author.

Key Term

in-text citation: Giving the name and year or other identifying information of the author of a source within the text of a paper.

In-text citations

These in-text citations are properly formatted in APA style.

Source by a Single Author

To cite this type of reference in the text, you should use what is known as a parenthetical—the citation information enclosed in parentheses—at the end of the relevant sentence. The parenthetical should include the author’s last name (with no first or middle initial), followed by a comma, followed by the year the source was published. If you’re citing a direct quote, you also need to include the page number. For example:

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling, 2005).
Social representations theory “proposes a new hypothesis …” (Pauling, 2005, p. 113).

If you choose, you can integrate the author’s name into the sentence itself—this is known as a “signal phrase”—and provide just the year in parentheses:

Pauling (2005) posits that …

Source by Two Authors

Authors should be presented in the order in which they are listed on the published article. If you include the authors’ names in the parenthetical, use an ampersand (&) between the two names. For example:

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling & Liu, 2005).

If you choose to use a signal phrase instead, use the word “and” rather than an ampersand:

Pauling and Liu (2005) posit that …

Source by Three to Five Authors

For an article with three to five authors, the first time you cite the article in the text of your paper, you should include the names of all the authors (in the same order in which they appear in the article) followed by the year of publication. After that, to save space and to make your paper easier to read, you should use only the first author’s name followed by “et al.” and the year of publication. (“Et al.” is short for “et alia,” which means “and other people” in Latin—much like “etc.” is short for “et cetera,” which means “and other things” in Latin.)

First Instance

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling, Liu, & Guo, 2005).

Using a signal phrase:

Pauling, Liu, and Guo (2005) posit …

Subsequent Instances in the Same Document

(Pauling et al., 2005)

Using a signal phrase:

Pauling, et al. (2005) posit …

Source by More than Five Authors

For an article with more than five authors, include only the first author’s name followed by “et al.” and the year of publication in each in-text citation.

(Hughes-Hallett et al., 2008)

Using a signal phrase:

Hughes-Hallett et al. (2008) claim that …

Multiple Publications by Different Authors

If you need to cite multiple publications by different authors in the same sentence, you should list the multiple sources in alphabetical order by author and use a semicolon to separate them.

… majority (Alford, 1995; Pauling, 2004; Sirkis, 2003).

If within this citation you also have multiple sources by the same author, after that author’s name separate the multiple dates of publication with a semicolon and order them chronologically (earliest to latest).

… majority (Alford, 1995; Pauling, 2004; 2005; Sirkis, 2003).

Multiple Publications by the Same Author

If an author has multiple publications which you wish to cite in the same sentence, you use a semi colon (;) to separate the years of publication in chronological order (oldest to most recent).

… majority (Pauling, 2004; 2005).

Using a signal phrase:

Pauling (2004; 2005) suggests that …

Multiple Publications by the Same Author/s in the Same Year

If multiple publications by the same author (or group of authors) were published in the same year, there is a special rule for denoting this. In the References section, you would order those articles alphabetically by source title, and then append a lowercase letter in alphabetical order to the end of the year of publication. For example, if you had two publications by Pauling in 2004, the first would be marked as (2004a) and the second as (2004b). You would then include these lowercase letters in your in-text citations as well:

… majority (Pauling, 2004a; 2004b).

Chapter 10: Writing a Paper in MLA Style (Humanities)

10.1: Introduction to MLA Style

10.1.1: When to Use MLA Style

MLA style, created by the Modern Language Association of America, is the primary citation style used for papers in literature and media studies.

Learning Objective

Recognize when to use MLA style in writing

Key Points

If you take a writing or literature class in college, you will almost certainly need to write all your papers in MLA style.
MLA style is the house style of the Modern Language Association of America (MLA).
MLA style provides guidelines for evaluating and documenting sources.

Key Term

MLA style: A common citation and formatting style used in composition, literature, and media studies.

MLA style is one of the most common citation and formatting styles you will encounter in your academic career. Any piece of academic writing can use MLA style, from a one-page paper to a full-length book. It is widely used by in many high school and introductory college English classes, as well as scholarly books and professional journals. If you are writing a paper for a literature or media studies class, it is likely your professor will ask you to write in MLA style.

The Two MLA Style Guides

MLA style, the house style of the Modern Language Association of America (MLA), has two official publications. The most recently published editions of both works have been updated in light of advancements in computer word-processing programs and electronic and digital publishing practices.

For Students

The first MLA style guide is the MLA Handbook. This publication targets high school and college students and teachers, explaining the style and formatting rules relevant to student writing; this is the publication of most interest to you. The most recent version of the MLA Handbook is the eighth edition, published in 2016.

For Academic Professionals

The second is the MLA Style Manual and Guide to Scholarly Publishing, called the MLA Style Manual for short. This publication targets academic scholars and professors, explaining the style and formatting rules relevant to the publication of MLA-style books and journal articles in literature and media studies. The most recent version of the MLA Style Manual is the third edition, published in 2008.

Following the advent of the 8th edition of the MLA Handbook in spring 2016, the MLA stated that the MLA Style Manual would be declared out of print effective September 1, 2016.

The Purpose of the MLA Handbook

The MLA style guide aims to accomplish several goals:

to define plagiarism and explain how to avoid it;
to provide guidelines for evaluating the reliability of sources;
to ensure proper attribution of ideas to their original sources, for the sake of academic honesty and intertextual dialogue;
and to ensure consistent formatting and presentation of information, for the sake of clarity and ease of navigation.

10.2: MLA: Quotations and Citations

10.2.1: MLA: Block Quotations

In MLA style, format quotations of more than four lines of prose or more than three lines of verse as block quotations.

Learning Objective

Recognize when to use block quotations in MLA style

Key Points

A regular quotation is part of a sentence within a paragraph in your paper; however, for longer quotations (more than four lines of prose, or more than three lines of verse), format the excerpt as a block quotation.
A block quotation begins on its own line, is not enclosed in quotation marks, and—if applicable— has an in-text citation after the final punctuation.
Block quotations are double-spaced, like the rest of your paper, and indented half an inch from the left margin.

When to Use a Block Quotation

A typical quotation is enclosed in double quotation marks and is part of a sentence within a paragraph of your paper. However, if you want to quote more than four lines of prose (or three lines of verse) from a source, you should format the excerpt as a block quotation, rather than as a regular quotation within the text of a paragraph. Most of the standard rules for quotations still apply, with the following exceptions: a block quotation will begin on its own line, it will not be enclosed in quotation marks, and its in-text citation will come after the ending punctuation, not before it.

Block quotation

An example of a properly formatted block quotation

Spacing and Alignment

The entire block quotation should be indented half an inch from the left margin. The first line of the excerpt should not be further indented, unless you are quoting multiple paragraphs—in which case the first line of each quoted paragraph should be further indented 0.25 inches.

To better visually distinguish a block quotation from the surrounding text, be sure to leave an extra (blank) line both above and below your block quotation.

If quoting more than three lines of verse, maintain the original line breaks.

10.2.2: MLA: In-Text Citations and Parentheticals

In MLA, there are different formats for citing sources in text depending on the type of source.

Learning Objective

Arrange in-text citations in MLA style

Key Points

In-text citations are where you tell the reader, within the text of your paper, which source you are citing.
The correct formatting for an in-text citation varies depending on how many authors created the work being cited.
Formatting also varies depending on whether you cite the same source more than once, whether you cite multiple works by the same author, and whether you cite sources with page numbers.

Source by a Single Author

To cite this type of reference in the text, you should use what is known as a parenthetical—the citation information enclosed in parentheses—at the end of the relevant sentence. The parenthetical should include simply the author’s last name (with no first or middle initial). If you’re citing a direct quote, you also need to include the page number. For example:

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling 113).
Social representations theory “proposes a new hypothesis …” (Pauling 113).

If you choose, you can integrate the author’s name into the sentence itself—this is known as a “signal phrase”—and provide just the page number in parentheses:

Pauling (113) posits that “scientific knowledge…”

Source by Two Authors

Social representations theory posits that reified scientific knowledge that exists at the boundaries of a given society will be interpreted in meaningful and often simplified forms by the majority (Pauling and Liu 113).

Using a signal phrase:

Pauling and Liu (113) posit that …

Source by Three or More Authors

For an article with three or more authors, to save space and to make your paper easier to read, you should use only the first author’s last name followed by “et al.”, and then the page number, if applicable (“et al.” is short for “et alia,” which means “and other people” in Latin—much like “etc.” is short for “et cetera,” which means “and other things” in Latin.):

(Pauling et al. 113)

Using a signal phrase:

Pauling et al. (113) posit …

Source by No Known Author

For an article with no known author, use the source title in place of the author’s name, formatted as it would be (i.e., italicized or enclosed in quotation marks) in your Works Cited section:

(“Bilingual Minds, Bilingual Bodies” 4)

Using a signal phrase:

The article “Bilingual Minds, Bilingual Bodies” (4) claims …

Multiple Publications by Different Authors

If you need to cite multiple publications by different authors in the same sentence, you should list the multiple sources in alphabetical order by author and use a semicolon to separate them.

… majority (Alford 24; Pauling 113; Sirkis 96).

Multiple Publications by the Same Author

If an author has multiple publications that you want to cite in the same sentence, include the author’s name in a signal phrase and the titles of the referenced sources instead in the parentheticals:

Achenbach’s recent research (“Bibliography of Published Studies” 17) demonstrates a radical shift in thinking from his stance of a decade ago (“School-Age Assessments” 39)…

Source Without Page Numbers

If you need to cite a source without page numbers, include other location information if it that information is consistently available to all users. For example, if you’re citing an ebook without page numbers, include a comma followed by the chapter number instead:

(Pauling and Liu, ch. 6)

Using a signal phrase:

Pauling and Liu (ch. 6) posit that …

10.2.3: MLA: The Works Cited Section

In MLA style, the sources you cite in your paper are listed all together at the end, in the Works Cited section.

Learning Objective

Arrange the Works Cited section in MLA style

Key Points

In MLA style, all the sources you cite throughout the text of your paper are listed together at the end, in the Works Cited section.
There are nine core elements of a Works Cited entry: Author. Title of source. Title of container, Other contributors, Version, Number, Publisher, Publication date, Location. Each element is followed by a comma or a period (as shown), though the final element in a Works Cited entry is always followed by a period.
Only the elements relevant to a particular source should be included in its Works Cited entry.
The Works Cited section is arranged alphabetically. In addition, the first and subsequent lines of each citation should be indented a half an inch from the left margin.

In MLA style, all the sources you cite throughout the text of your paper are listed together in full in the Works Cited section, which comes after the main text of your paper.

Constructing a Citation

There are nine core elements of a Works Cited entry:

Author.
Title of source.
Title of container,
Other contributors,
Version,
Number,
Publisher,
Publication date,
Location.

Each element is followed by a comma or a period (as shown), though the final element in a Works Cited entry is always followed by a period.

Only the elements relevant to a particular source should be included in its Works Cited entry.

A brief explanation of each of the nine elements follows. Consult the MLA Handbook, 8th Edition for more information. The MLA website also contains a helpful guide, including a practice template:

1. Author.

If the source is written by one author, the citation should begin with the author’s last name, a comma, the rest of the author’s name, and then a period. For example, if you’re citing a source written by Zadie Smith, the citation should begin:

Smith, Zadie.

If the source is written by two authors, the citation should begin with the first author’s last name, a comma, the rest of the first author’s name, a comma, the second author’s full name (in the normal order), and then a period. For example, if you’re citing a source written by Mark Twain and Charles Dudley Warner, the citation should begin:

Twain, Mark, and Charles Dudley Warner.

If the source is written by three or more authors, the citation should begin with the first author’s last name, a comma, the rest of the first author’s name, a comma, and then et. al., which means “and others.” For example, if you’re citing a source written by Wayne C. Booth, Gregory G. Colomb, and Joseph M. Williams, the citation should begin:

Booth, Wayne C., et al.

2. Title of Source.

If the source is what the MLA Handbook describes as “self-contained and independent,” such as a book or a collection of essays, stories, or poems by multiple authors, include the title in italics, followed by a period. For example, if you’re citing Zadie Smith’s novel Swing Time, the citation should begin:

Smith, Zadie. Swing Time.

If the source, on the other hand, is a work that appears within a larger work, such as a poem that appears with an anthology, include the title in quotations marks instead. (Make sure that the period following the title appears inside the closing quotation mark.) For example, if you’re citing Seamus Heaney’s poem “Digging” from his collection Death of Naturalist, the citation should begin:

Heaney, Seamus. “Digging.”

3. Title of Container,

A container, in this context, is the larger work that contains the shorter work being cited. Seamus Heaney’s poetry collection Death of a Naturalist, for example, is the container for his poem “Digging.”

If the source you’re citing appears within a container, continue the citation by including the title of the container in italics, followed by a comma:

Heaney, Seamus. “Digging.” Death of a Naturalist,

Here’s another example. In this case, the website Slate is the container for the article “Hackers Breached San Francisco’s Transit System and Demanded a Ransom”:

Grabar, Henry. “Hackers Breached San Francisco’s Transit System and Demanded a Ransom” Slate,

4. Other contributors,

Sometimes there are other contributors to a work—in addition to the author or authors—who should be included in the Works Cited entry. Include a contributor if their contribution helps further identify the work or if their contribution is particularly relevant to your research.

If you include a contributor in your work Cited entry, add a description of the contribution ( “adapted by,” “directed by,” “edited by,” “illustrated by,” etc.), followed by the full name of the contributor and a comma.

For example, if you’re citing a work that has been translated from another language, continue the citation by including the phrase “translated by” followed by the full name of the translator and a comma:

Calvino, Italo. Invisible Cities. Translated by William Weaver,

Or, for example, if your research relates to the illustrations contained within a work, continue the citation by including the phrase “Illustrated by” followed by the full name of the illustrator and a comma:

Bloom, Amy Beth. Little Sweet Potato. Illustrated by Noah Z. Jones,

5. Version,

Some works are published in different versions or editions. If you’re citing a particular version of a work, continue the citation by including the version followed by a comma. Here are two examples:

Nelson, Philip. Biological Physics: Energy, Information, Life. Updated Version,

King, Laura A. The Science of Psychology: An Appreciative Review. 3rd ed.,

6. Number,

Similarly, some works are published in multiple numbers, volumes, issues, episodes, or seasons. If you’re citing a particular number of a work, continue the citation by including the number followed by a comma. Here are a few examples:

“Indigenous Rights in Canada: Contested Wilderness.” The Economist, Vol. 421, Number 9017,

Kirkman, Rodman. The Walking Dead. Illustrated by Charlie Adlard and Cliff Rathburn, Vol. 4: The Heart’s Desire,

“Airport 2010.” Modern Family. Written by Dan O’Shannon and Bill Wrubel, season 1, episode 22,

7. Publisher,

If the source is distributed by a publisher, blog network, or other organization, continue the citation by including the publisher, followed by a comma. Here are two examples:

Miranda, Lin-Manuel, and Jeremy McCarter. Hamilton: The Revolution. Grand Central Publishing,

McMillan, Robert. “Her Code Got Humans on the Moon—and Invented Software Itself.” Wired, Condé Nast,

8. Publication Date,

Continue the citation by including the available publication date information most relevant to your source, followed by a comma. If you’re citing a book, for example, a copyright year will suffice:

Fish, Stanley. How Milton Works. Belknap Press, 2001,

If you’re citing a tweet, on the other hand, provide the day, month, year, and time, as some people and organizations tweet more than once a day:

@POTUS. “This Thanksgiving, we give thanks for our blessings, and work to fulfill the timeless responsibility we have as Americans to serve others.” Twitter, 24 Nov. 2016, 2:05 p.m.,

9. Location.

Location, in this context, refers to the location (e.g. page number(s), DOI, URL, etc.) of a source within a container or the physical location of a live performance, lecture, or presentation. If applicable, continue the citation by including the location information, followed by a period. Here are a few examples:

Heaney, Seamus. “Casualty.” Field Work: Poems, Farrar, Straux, and Giroux, 2009, pp. 13-16.

Grabar, Henry. “Hackers Breached San Francisco’s Transit System and Demanded a Ransom,” Slate, TheSlateGroup, 28 Nov. 2016, slate.com/blogs/future_tense/2016/11/28/san_francisco_muni_hacked_for_a_ransom_payment.html.

Ernst, Steve, and Liza Neustaetter. “Empowering Faculty and Students with High Quality Modular Courseware.” OLC Accelerate, 18 Nov. 2016, Walt Disney World Swan and Dolphin Resort, Orlando.

Formatting the Works Cited Section

Your Works Cited entries should be listed in alphabetical order.

Each reference should be formatted with what is called a hanging indent. This means the first line of each citation should be flush with the left margin (i.e., not indented), but the rest of that citation should be indented a half an inch from the left margin. Any word-processing program will let you format this automatically so you don’t have to do it by hand. (In Microsoft Word, for example, you simply highlight your citations, click on the small arrow right next to the word “Paragraph” on the home tab, and in the popup box choose “hanging indent” under the “Special” section. Click OK, and you’re done.)

Multiple Publications by the Same Author

If you are referencing multiple publications by the same author (or group of authors), there is a special rule for denoting this. You should first order those articles alphabetically by source title in the Works Cited section. Then, replace the author’s name (or list of names) with three hyphens, followed by a period, for all but the first entry by that author:

Achenbach, Thomas M. “Bibliography of….

—. “School-Age…

Works Cited

A properly formatted Works Cited page.

Chapter 9: Writing Across Disciplines

9.1: Introduction to Writing Across Disciplines

9.1.1: Writing in Different Academic Disciplines

Academic writing conventions vary substantially according to discipline—that is, whether one is working in the humanities, the social or natural sciences, or business.

Learning Objective

Identify the key characteristics of writing in different academic disciplines

Key Points

Writing in the humanities usually seeks to analyze, interpret, argue, and/or explain thoughts, reactions, ideas, and emotions.
Writing in the sciences focuses on informing the reader of new discoveries and assisting readers in discovering truth through facts and solid data provided in detail.
Writing in business often means explaining a situation, event, or change to compel the reader toward a very specific action.

Key Terms

creative writing: The art of crafting texts, such as novels, biographies, short stories, and poems, that fall outside the bounds of professional, journalistic, academic, and technical discourse. Creative writing can be used to tell stories, evoke emotions, build empathy, and inspire new ways of thinking about the world.
genres: Categories or types of writing, including analytical, creative, explanatory, interpretive, and persuasive (among many others).

Academic writing in a college setting can generally be divided into three main categories or genres: writing in the humanities, writing in the sciences, and writing in business. Each genre has its own specific requirements in terms of style, content, and format.

Writing in the Humanities

Academic writing in the humanities explores questions that deal with human values. The ultimate goal in writing in the humanities is to explain or understand the human experience—to use writing as a tool to reflect upon life. The “humanities,” as a discipline, includes not only literature, but also philosophy, ethics, performing arts, fine arts, history, and aspects of anthropology, cultural studies, foreign languages, and linguistics. In a humanities class, you might be asked to analyze a poem, a performance or play, a painting, a film, or even a musical work.

Writing in the Sciences

Science writing includes writing in two main categories—natural sciences and social sciences. In each genre, the writing focuses on informing readers of new discoveries and assisting them in discovering truth through facts and firm, detailed data.

Research-based writing in the sciences typically uses a formal tone, employs a third-person voice, and avoids personal references and needless adjectives. Depending on the assignment, you might also write an analytical, explanatory, or persuasive paper in any of these fields for a popular or professional audience.

Natural Sciences

Natural sciences include physical sciences such as biology, chemistry, engineering, geology, and physics. This type of writing is generally concise and includes genres such as lab reports and reviews of scientific literature.

Social Sciences

The social sciences, on the other hand, focus on human behavior and societies. They involve documenting actual events as they happen. Categories of social science include psychology, anthropology, political science, sociology, education, and economics.

Writing in Business

Business writing often means explaining a situation, event, or change in order to compel the reader toward a very specific action. Format is key to a well-written business document because its structure needs to allow the reader to quickly find particular sections and a contact person who can answer further questions. Writing in business can include memos, cover letters, resumes, project reports, proposals, thank-you letters, emails, and business plans. While adherence to conventional grammar, spelling, and punctuation is important in every discipline, business writing places the greatest emphasis on mechanics.

9.2: Writing in the Humanities

9.2.1: Introduction to Writing in the Humanities

Academic writing in the humanities allows for some flexibility in style and voice, while still following specific conventions of format and documentation.

Learning Objective

Define the subtypes of writing that exist within the humanities

Key Points

Generally, writing in the humanities falls into one of three categories: research writing, interpretive/analytical writing, and creative writing.
When writing a research paper in the humanities, you will collect (and cite!) information from a variety of different sources to support an argument.
In interpretive/analytical writing, you will make a claim about what a particular text (or film, or painting, etc.) means or how it goes about presenting meaning; you will make an argument backed up with specific examples from the text.
In some analytical writing, you may be asked to interpret a text through the lens of a particular theory—for example, modernist theory, psychoanalytic theory, etc.
Creative writing mostly comprises fiction writing, such as poems, short stories, novels, and song lyrics; however, there is also a type of writing called creative nonfiction, in which creative writing centers around real events.

Key Terms

thesis: A claim or theory that must be supported with evidence to argue for or against a specific idea or position.
literary analysis: A piece of academic writing that explores and interprets the meaning behind the story, characters, themes, and purposes of a text.
humanities: The collection of academic disciplines that study human expression, ideas, and thought.
expository: Of a type of writing that explains, informs, or describes a process or concept.

Writing in the Humanities

The ultimate goal in writing in the humanities is to explain or understand the human experience and human values. The humanities—also called the liberal arts—include philosophy, religion, art, music, literature, history, and language. These fields are a broad way of studying and understanding how people express ideas, information, and feelings—the experience of what makes us human. Sometimes mislabeled as the “opposite” of the applied sciences or professional programs such as business, the humanities are in fact at the core of every human endeavor to pursue, discover, and pass on knowledge.

There is no single, all-encompassing type of writing in the humanities. You might write a literary analysis of a novel, story, play, or poem; an analysis that explains how a written or visual text works to persuade a specific audience; an expository essay that shares personal experiences or explores ideas; a research paper investigating the history of a particular theoretical approach; or a persuasive article that works to convince a specific audience of your thesis. Generally, however, writing in the humanities falls into one of three categories: research writing, interpretive/analytical writing, and creative writing.

Research Writing

When writing a research paper in the humanities, you will likely be relying on a number of different sources to support a broader claim that you’re trying to make. It is crucial that you correctly cite and attribute all ideas and information that are not common knowledge and not your own. For example, you would need to provide a citation for a statement like, “60% of guns recovered in crimes are sold by unlicensed dealers,” which is likely written about in a specific study, but not for a statement like, “William Shakespeare was born in 1564,” which is common knowledge and referenced in many different sources.

Interpretive/Analytical Writing

An interpretation, or analysis, involves the discovery of meaning in a text (or film, or painting, etc.) or the production of meaning in the process of reading a text. As such, analytical writing focuses on the questions of “how?” and “why?” It tries to assist the reader in understanding specific events (literary, cultural, or otherwise) rather than just engaging in summary. Writing about literature (poems, short stories, plays, etc.) often involves making an argument that can be backed up with specific examples from the text. For example, a student writing an interpretive paper about a specific book may try to explain the author’s attitudes or views on a specific subject matter. The writer of the paper must then use evidence found in that book—specific lines, words, or phrases—to back up their claims.

Theoretical Writing

Theoretical writing involves writing on a topic from a particular theoretical perspective or combination of perspectives (e.g., modernism, deconstructionism, psychoanalytic theory, etc.). Often, students will be asked to combine the analytical and theoretical genres: to write a paper interpreting a specific text or film through the lens of a particular theory or theoretical text. For example, a student might write an essay on Ford Madox Ford’s The Good Soldier, investigating how its use of language fits into Nietzsche’s theory of human communication. Another example might be a paper interpreting a film using certain tenets of psychoanalytic theory.

Creative Writing

Creative writing attempts to achieve, or create, an effect in the minds of readers. Creative writing can also be used as an outlet for people to get their thoughts and feelings out and onto paper. Poems, short stories, novels, and even song lyrics are all examples of creative writing.

To some, nonfiction can also be considered creative writing because it is done from the author’s point of view and may be written in an individual style that engages the reader. In fact, many universities offer courses in “creative nonfiction.” Others like to separate nonfiction from creative writing because it deals with real events that actually took place, even if they are written about subjectively.

9.3: Writing in the Natural and Social Sciences: The Research Paper and the IMRAD Model

9.3.1: Principles of Writing in the Sciences

Scientific writing has two goals: to inform the reader of new developments in a specific field, and to address existing questions with new evidence.

Learning Objective

List the stylistic elements of a successful scientific paper

Key Points

Academic writing in the sciences addresses new scientific developments and clarifications of scientific questions, most frequently in the form of a lab report, journal article, or literature review. The natural sciences include fields such as astronomy, biology, chemistry, and physics; the social sciences include anthropology, economics, linguistics, political science, sociology, and psychology.
Scientific papers commonly follow the IMRAD model, which stands for introduction, method, results, and discussion.
The introduction should describe elements such as the paper’s motivation, aim, problem, tested hypothesis, novel contributions, background materials, and an overview of the subsequent material.
The methods section should cover the writer’s assumptions, system model, simulation model, and performance measures. For an original study, when, where, and how the study was conducted, what materials were used, and who was included in the study groups should all be included.
In describing the results, the writer should include any empirical data, charts, and plots that convey the answer to the research question, and state whether the research hypothesis was proven or not proven.
The discussion section should analyze the results, state why they matter, contextualize them in relation to existing research, and suggest the implications for future research.

Key Terms

objectivity

The ability to perceive a subject without being influenced by personal biases or emotions.

bias

A definite opinion or position on a subject.

lab report

A step-by-step explanation of the materials, methods, data, results, analysis,
conclusions, and references of an experiment.

Scientific research papers report new discoveries, applying evidence to answer questions and identify patterns. Writing in these disciplines often takes the form of peer-reviewed journal articles, literature reviews, grant proposals, case studies, and lab reports.

For example, in an environmental-science lab report, a student might analyze research results to address or clarify a particular scientific development or question:

“This study aims to identify levels of chlorine and phosphorus compounds in a three-mile stretch of the Columbia River, which is an area notable for salmon runs. An analysis of samples taken over a two-year period from various locations within the three-mile stretch revealed the persistence of high levels of phosphorous and chlorine compounds. In the study, we examine the relationship between salmon population and the persistence of these compounds.”

Scientific papers require a great deal of preliminary work, including research, field work, and experimentation. Translating that work into writing can be difficult, but academic conventions provide a common template for communicating findings clearly and effectively.

General Style

Writing in the sciences seeks to explain complex phenomena in clear, straightforward prose that minimizes authorial bias. It also includes elements of classical argument, since scientific papers are expected to contextualize, analyze, and interpret the information at hand.

Precision of Language

Lab reports, case studies, and other types of scientific writing must be precise in order to provide results that can be tested and reproduced.

Strive to use simple words and sentences. Some students try to make their work sound more intellectual by using obscure words and long, elaborate sentences. In reality, the academy values precise words and detailed descriptions that are still understandable to a lay audience. Don’t try to mimic the stereotype of dense, convoluted academic writing. Instead, write as simply and clearly as possible. Precision is a key component of clarity.

In the sciences, precision has two main applications: using concrete examples, and using clear language to describe them. Defining your parameters accurately is essential. Don’t generalize—provide exact times, measurements, quantities, and other relevant data whenever possible. Using precise, straightforward language to describe your work is also vital. This is not the time or place for flashy vocabulary words or rhetorical flourishes. Style, however, is still important: writing about the sciences doesn’t give you a pass to write sloppily.

Objectivity

The sciences aim for objectivity at every stage, from the experimental procedures to the language used in the write-up. Science writing must convince its audience that its offering an important, innovative contribution; as a result, it has an argumentative character. Combining objectivity and argumentative writing can be challenging. Scientific objectivity has two requirements: your hypothesis must be testable, and your results must be reproducible.

The importance of objectivity in the sciences limits writers’ ability to use persuasive rhetoric. However, it is still necessary to make a strong case for the importance, relevance, and applicability of your research. Argumentative writing does have a place in scientific papers, but its role is limited. You may use persuasive language in the abstract, introduction, literature review, discussion of results, and conclusion, but avoid using it when you describe your methods and present your results.

Transitions

Many students struggle to transition from one topic to the next. Transitions are well worth mastering—they are the glue that holds your ideas together. Never assume that the reader will correctly guess the relationships between different subtopics; it is your responsibility to explain these connections.

Scientific Reasoning

Keeping your chosen model in mind while you write can help ensure that your decisions and conclusions are logically consistent. Also, watch out for logic traps such as bias and faulty causality. Researchers must account for their own biases, or personal preferences, prejudices, and preconceived notions. These may include cognitive bias (irrational thinking), cultural bias (the imposition of one’s own cultural standards upon research subjects), and sampling bias (the tendency during sample collection to include some members of the intended sample more readily than others).

9.3.2: Overview of the IMRAD Model

The body of a scientific paper generally consists of the following sections: introduction (which may include a literature review), methods, results, and discussion.

Learning Objective

Define each element of the IMRAD structure

Key Points

The IMRAD model is the conventional structural approach to academic writing in the sciences. The IMRAD model has four parts: introduction, methods, results, and discussion.
The literature review provides an overview of relevant research in your discipline. This may be included as part of the introduction, or it may stand as its own section.
The methods section should explain how you collected and evaluated your data.
If your project conducts an experiment or an original data analysis, you should include a separate section that reports your results.
The discussion section should analyze your results without reporting any new findings.

Key Terms

quantitative: Of research methods that rely on objective measurements and data analysis.
literature review: A synthesis of the critical points of current knowledge in a given field, which includes significant findings as well as theoretical and methodological contributions to a particular topic.
IMRAD: An acronym for Introduction, Methods, Results, and Discussion—the conventional structure of a scientific paper.
result: The discovery (or absence of discovery) that arises from the scientific method of investigation.
qualitative: Of research methods that create a more subjective understanding by studying a subject’s defining qualities and character.

In the natural and social sciences, the format for the body of the paper varies depending on the discipline, audience, and research methods. Generally, the body of the paper contains an introduction, a methods section, results, and discussion. This method is called IMRAD for short.

These sections are usually separate, although sometimes the results are combined with the methods. However, many instructors prefer that students maintain these divisions, since they are still learning the conventions of writing in their discipline. Most scientific journals prefer the IMRAD format, or variations of it, and even recommend that writers designate the four elements with uniform title headings.

Try to stay true to each section’s stated purpose. You can cite relevant sources in the methods, discussion, and conclusion sections, but again, save the lengthy discussion of those sources for the introduction or literature review. The results section should describe your results without discussing their significance, while the discussion section should analyze your results without reporting any new findings. Think of each section as a course served at a fancy dinner—don’t pour the soup into the salad or add leftover scraps from the entree to the dessert!

Introduction

In the first section of your paper, make a case for your new research. Explain to your reader why you chose to research this topic, problem, or issue, and why such research is needed. Explain any “gaps” in the current research on this topic, and explain how your research contributes to closing that gap.

Literature Review

While not always required, the literature review can be an important part of your introduction. It provides an overview of relevant research in your discipline. Its goal is to provide a scholarly context for your research question, and explain how your own research fits into that context. A literature review is not merely a summary of the sources you’ve found for your paper—it should synthesize the information gathered from those sources in order to demonstrate that work still needs to be done.

Explain your selection criteria early on—why did you choose each of your sources? The literature review should only refer to work that affects your particular question. Seek out a diverse range of sources. Look at primary-research reports and data sets in addition to secondary or analytical sources.

Methods

This section should explain how you collected and evaluated your data. Use the past tense, and use precise language. Explain why you chose your methods and how they compare to the standard practices in your discipline. Address potential problems with your methodology, and discuss how you dealt with these problems. Classify your methods. Are they empirical or interpretive? Quantitative or qualitative?

After you support your methods of data collection or creation, defend the framework you use to analyze or interpret the data. What theoretical assumptions do you rely on?

After you provide a rationale for your methodology, explain your process in detail. If you are vague or unclear in describing your methods, your reader will have reason to doubt your results. Furthermore, scientific research should present reproducible (i.e., repeatable) results. It will be impossible for other researchers to recreate your results if they can’t determine exactly what you did. Include information about your population, sample frame, sample method, sample size, data-collection method, and data processing and analysis.

Results

When you describe your findings, do so in the past tense, using impartial language, with no attempt to analyze the significance of the findings. You will analyze your results in the next section. However, it is perfectly acceptable to make observations about your findings. For instance, if there was an unexpectedly large gap between two data points, you should mention that the gap is unusual, but save your speculations about the reasons for the gap for the discussion section. If you find some results that don’t support your hypothesis, don’t omit them. Report incongruous results, and then address them in the discussion section. If you find that you need more background information to provide context for your results, don’t include it in the results section—go back and add it to your introduction.

Discussion

This is the place to analyze your results and explain their significance—namely, how they support (or do not support) your hypothesis. Identify patterns in the data, and explain how they correlate with what is known in the field, as well as whether they are what you expected to find. (Often, the most interesting research results are those that were not expected!) You should also make a case for further research if you feel the results warrant it.

It can be very helpful to include visual aids such as figures, charts, tables, and photos with your results. Make sure you label each of these elements, and provide supporting text that explains them thoroughly.

Royal Academy School

One of the goals of the literature review is to demonstrate familiarity with a body of knowledge.

9.3.3: Abstract

The abstract is the first (and, sometimes, only) part of a scientific paper people will read, so it’s essential to summarize all necessary information about your methods, results, and conclusions.

Learning Objective

Describe the purpose of the abstract

Key Points

Many online databases will only display the abstract of a scientific paper, so the abstract must engage the reader enough to prompt them to read the longer article.
The abstract is the first (and, sometimes, only) part of your paper people will see, so it’s important to include all the fundamental information about your introduction, methods, results, and discussion sections.
While a scientific paper itself is usually written for a specialized professional audience, the abstract should be understandable to a broader public readership (also known as a “lay audience”).

Key Term

abstract: The overall summary of a scientific paper, usually fewer than 250 words.

The Importance of the Abstract

The abstract of a scientific paper is often the only part that the reader sees.
A well-written abstract encapsulates the content and tone of the entire paper. Since abstracts are brief (generally 300–500 words), they do not always allow for the full IMRAD structure. A specialized audience may read further if they are interested, and the abstract is your opportunity to convince them to read the rest. Additionally, the abstract of an article may be the only part that is available through electronic databases, published in conference proceedings, or read by a professional journal referee. Hence abstracts should be written with a non-specialized audience (or a very busy specialized audience) in mind.

What to Address in the Abstract

While each medium of publication may require different word counts or formats for abstracts, a good general rule is to spend one to two sentences addressing each of the following (do not use headers or use multiple paragraphs; just make sure to address each component):

Summarize Your Introduction

This is where you will introduce and summarize previous work about the topic. State the question or problem you are addressing, and describe any gaps in the existing research.

Summarize Your Methods

Next, you should explain how you set about answering the questions stated in the background. Describe your research process and the approach(es) you used to collect and analyze your data.

Summarize Your Results

Present your findings objectively, without interpreting them (yet). Results are often relayed in formal prose and visual form (charts, graphs, etc.). This helps specialized and non-specialized audiences alike grasp the content and implications of your research more thoroughly.

Summarize Your Conclusions

Here is where you finally connect your research to the topic, applying your findings to address the hypothesis you started out with. Describe the impact your research will have on the question, problem, or topic, and include a call for specific areas of further research in the field.

9.3.4: Introduction and Thesis

In academic writing, the introduction and thesis statement form the foundation of your paper.

Learning Objective

Identify elements of a successful introduction

Key Points

Writing in the social sciences should adopt an objective style without figurative and emotional language. Be detailed; remain focused on your topic; be precise; and use jargon only when writing for a specialist audience.
In the social sciences, an introduction should succinctly present these five points: the topic, the question, the importance of the question, your approach to the question, and your answer to the question.
A thesis statement is a brief summary of your paper’s purpose and your central claim. The thesis statement should be one to three sentences in length, depending on the complexity of your paper, and it should appear in your introduction.

Key Terms

thesis statement: A claim, usually found at the end of the first paragraph of an essay or similar document, that summarizes the main points and arguments of the paper.
introduction: An initial section that summarizes the subject material of a book or article.

Social sciences

The social sciences include academic disciplines like anthropology, sociology, psychology, and economics

The introduction can be the most challenging part of a paper, since many writers struggle with where to start. It helps to have already settled on a thesis. If you’re feeling daunted, you can sometimes write the other sections of the paper first. Then, when you’ve organized the main ideas in the body, you can work “backward” to explain your topic and thesis clearly in the first paragraph.

Present Main Ideas

The introduction to a social-science paper should succinctly present the main ideas. The goal of the introduction is to convince the reader that you have a valid answer to an important question. In order to do that, make sure your introduction covers these five points: the topic, the question, the importance of the question, your approach to the question, and your answer to the question.

Structuring Your Ideas

A popular introduction structure is the concept-funnel—begin with general information about your topic, narrow the focus and provide context, and end by distilling your paper’s specific approach. As you move from general background information to the specifics of your project, try to create a road map for your paper. Mirror the structure of the paper itself, explaining how each piece fits into the bigger picture. It is usually best to write the introduction after you have made significant progress with your research, experiment, or data analysis to ensure you have enough information to write an accurate overview.

Papers in the sciences generally aim for an objective voice and stay close to the facts. However, you have a bit more freedom at the beginning of the introduction, and you can take advantage of that freedom by finding a surprising, high-impact way to highlight your issue’s importance. Here are some effective strategies for opening a paper:

Make a provocative or controversial statement
State a surprising or little-known fact
Make a case for your topic’s relevance to the reader
Open with a relevant quote or brief anecdote
Take a stand against something
Stake a position for yourself within an ongoing debate
Talk about a challenging problem or paradox

Establishing Relevance

After you engage your reader’s attention with the opening, make a case for the importance of your topic and question. Here are some questions that may help at this stage: Why did you choose this topic? Should the general public or your academic discipline be more aware of this issue, and why? Are you calling attention to an underappreciated issue, or evaluating a widely acknowledged issue in a new light? How does the issue affect you, if at all?

Thesis Statement

A thesis statement is a brief summary of your paper’s purpose and central claim. The thesis statement should be one to three sentences, depending on the complexity of your paper, and should appear in your introduction. A thesis statement in the social sciences should include your principal findings and conclusions. If writing about an experiment, it should also include your initial hypothesis. While there is no hard-and-fast rule about where to state your thesis, it usually fits naturally at or near the end of the introductory paragraph (not later than the very beginning of the second paragraph). The introduction should provide a rationale for your approach to your research question, and it will be easier to follow your reasoning if you reveal what you did before you explain why you did it.

Testability

Your thesis is only valid if it is testable. Testability is an extension of falsifiability, a principle indicating that a claim can be proven either true or false. The statement, “all Swedish people have blonde hair” is falsifiable—it could be proven false by identifying a Swede with a different hair color. For a hypothesis to be testable, it must be possible to conduct experiments that could reveal observable counterexamples. This is the equivalent of the principle in the humanities that a claim is only valid if someone could also reasonably argue against it.

Thesis Statements to Avoid

The statement without a thesis: A statement of a fact, opinion, or topic is not a thesis. Push the thesis statement beyond the level of a topic statement, and make an argument.
The vague thesis: If your thesis statement is too general, it will not provide a “road map” for readers.
The “value judgment” thesis: Your argument should not assume a universal, self-evident set of values. Value-judgment-based arguments tend to have the structure “
is bad;
is good,” or “
is better than
.” “Good,” “bad,” “better,” and “worse” are vague terms that do not convey enough information for academic arguments. In academic writing, it is inappropriate to assume that your reader will know exactly what you mean when you make an overly general claim. The burden of proof, and thorough explanation, is on you.
The oversized thesis claim. There is only so much material you can cover within a page limit, so make sure your topic is focused enough that you can do it justice. Also, avoid arguments that require evidence you do not have. There are some arguments that require a great deal of research to prove—only tackle these topics if you have the time, space, and resources.

9.3.5: Methods

A methods section is a detailed description of how a study was researched and conducted.

Learning Objective

Identify the elements of a successful methods section

Key Points

Scientific objectivity requires that your paper have a testable hypothesis and reproducible results.
Your methods section should include all information necessary for your readers to exactly recreate your experiment; this gives others a chance to test your findings and demonstrates that your project meets the criteria of scientific objectivity.
To prove that your paper meets those criteria, you need to include a detailed description of how you conducted your experiment and reached your conclusions.
Specifically, your methods section should include details about your assumptions, your variables and participants, and what materials and metrics you used—essentially, any important information about when, where, and how the study was conducted.

Key Terms

IMRAD: Currently the most prominent norm for the structure of a scientific paper; an acronym for “introduction, methods, results, and discussion.”
testable: Also known as falsifiable; able to be disproven.
reproducible: Capable of being reproduced at a different time or place and by different people.

IMRAD: The Methods Section

Your methods section should include a full, technical explanation of how you conducted your research and found your results. It should describe your assumptions, questions, simulations, materials, participants, and metrics.

Because the methods section is generally read by a specialized audience with an interest in the topic, it uses language that may not be easily understood by non-specialists. Technical jargon, extensive details, and a formal tone are expected.

The methods section should be as thorough as possible since the goal is to give readers all the information necessary for them to recreate your experiments. Scientific papers need a thorough description of methodology in order to prove that a project meets the criteria of scientific objectivity: a testable hypothesis and reproducible results.

Purpose of the Methods Section: Testability

Hypotheses become accepted theories only when their experimental results are reproducible. That means that if the experiment is conducted the same way every time, it should always generate the same, or similar, results. To ensure that later researchers can replicate your research, and thereby demonstrate that your results are reproducible, it is important that you explain your process very clearly and provide all of the details that would be necessary to repeat your experiment. This information must be accurate—even one mistaken measurement or typo could change the procedure and results drastically.

Example Methods Section

The following is an example of a methods section of a scientific paper:

“The study focused on a three-hundred-mile stretch of the Columbia River, which has been the stretch of the river most studied historically. Five locations were selected, each sixty miles apart. Each location had three different water samples selected for three levels of the water: surface water (3-inch depth), mid-level water (12-inch depth), and water from the bottom of the river (36-inch depth). Samples were taken three times a day, seven days a week, during a period stretching from the fourth month before until the fourth month after the year’s salmon run.”

9.3.6: Results

The results section of a scientific paper objectively presents the empirical data collected in a study.

Learning Objective

Identify the information that belongs in the results section

Key Points

After discussing the methodology of your study, describe the outcomes that you measured or observed.
When presenting the findings, avoid drawing conclusions. Instead provide and explain the data you collected. This is your opportunity to tell the reader what you found without drawing any explicit conclusions from it.
Use charts, tables, or graphs to present your findings in a way that is clear and easily understood.

Key Terms

summary: A condensed version of the background or main ideas of a text.
results: The section of a scientific paper that objectively presents the data collected or observed in a research study.
methodology: A detailed explanation of specific components of a research project, such as phases, tasks, methods, techniques, and tools.

Writing the Results Section

The results section is where you state the outcome of your experiments. It should include empirical data, any relevant graphics, and language about whether the thesis or hypothesis was supported. Think of the results section as the cold, hard facts.

Style

Since the goal of the scientific paper is to present facts, use a formal, objective tone when writing. Avoid adjectives and adverbs; instead use nouns and verbs. Passive voice is acceptable here: you can say “The stream was found to contain 0.27 PPM mercury,” rather than “I found that the stream contained 0.27 PPM mercury.”

Presenting Information

Using charts, graphs, and tables is an excellent way to let your results speak for themselves. Many word-processing and spreadsheet programs have tools for creating these visual aids. However, make sure you remember to title each figure, provide an accompanying description, and label all axes so that your readers can understand exactly what they’re looking at.

Was Your Hypothesis Supported?

This is the part where it is the most difficult to be objective. If you followed the scientific method, you began your research with a hypothesis. Now that you have completed your research, you have found that either your hypothesis was supported or it was not. In the results section, do not attempt to explain why or why not your hypothesis was supported. Simply say, “The results were not found to be statistically significant,” or “The results supported the hypothesis, with
significance,” or the like. Be objective—there will be time for interpretation later.

Getting Ready for the Conclusion

It will be tempting to start drawing conclusions as you write the results section. You may also want to compare your results to the outcomes of other researchers’ experiments. Resist the urge! You’ll get your chance to draw conclusions in the conclusion section. The most you should do in the results section is present the data your experiments produced. Think of it as laying the foundation for what you will conclude later on in your paper.

9.3.7: Discussion and Conclusion

The discussion section of a scientific paper analyzes and interprets the results of a study, while the conclusion explains implications for further research.

Learning Objective

Differentiate between the discussion section and the conclusion

Key Points

The discussion section should briefly remind the reader of your research question and principal findings, and then interpret your results.
Be sure to acknowledge other possible interpretations of your results in the discussions section, and admit your project’s limitations.
In your conclusion, restate the research question, the main results, and the meaning of those results. However, avoid simply repeating your discussion section.
In your conclusion you may also discuss the significance of your research for future research, public policy, personal decision-making, or other spheres of influence.

Key Terms

conclusion: The end, finish, close, or last part of something.
discussion: Text giving further detail on a subject.

Discussion

The discussion section of a scientific paper should interpret the results of your research. First, briefly remind your reader of your research question and principal findings by briefly restating these points. Then explain the results themselves. Discuss how they fit (or do not fit) your hypothesis, and whether they are consistent with the results of similar research projects. Did you encounter anything surprising or idiosyncratic? If so, why is it significant? What might have caused it? Build on the research question you posed in the introduction, and the context you established in the literature review. Make a case for the meaning and significance of your findings, and support your case by connecting it to related research.

Acknowledge other possible interpretations of your results, and admit your project’s limitations. Your argument will be more convincing if you can anticipate your reader’s potential objections to your claims and address them directly in the discussion section. For example, generalizability (or how applicable a study’s results are to a more general population) is more limited with a smaller or less homogeneous sample. If your research sample is small or limited, be sure to acknowledge those limitations and address how they might have affected the results.

If your interpretation has broader implications, you can either suggest them in the discussion section or introduce them in a separate conclusion. You don’t have to write a conclusion if your points fit neatly into the discussion section, but a conclusion is helpful if you want to make suggestions that stretch beyond the scope of your project.

Conclusion

The conclusion section is not strictly necessary in the social sciences, but it can be helpful to provide a succinct summary of your work. It is also a good place to make bold speculations about the implications of your project. You should discuss, somewhere in your paper, the significance of your research for future research, public policy, personal decision-making, or other spheres of influence. But think carefully about whether you could benefit from the distancing effect of putting these implications in a separate conclusion.

The conclusion should not repeat your discussion section. It should take one to three paragraphs to restate the research question, the main results, and the meaning of those results. The conclusion then reaches beyond the suggestions you made in the body of the paper to emphasize the importance of the results and their potential consequences.

Conclusion

Conclusions have been an important part of writing for centuries.

9.4: Writing in Business

9.4.1: Introduction to Writing in Business

Business writing consists of many different types, all of which require a specific tone and organizational structure.

Learning Objective

List the stylistic elements of successful business writing

Key Points

Business writing includes reports, memos, PR communications, email, social media, and much more.
Each type of business writing has a different audience, purpose, organization, and style.
Business writing is always formal and uses a third-person voice (“he,” “she,” “they”).
Concision is extremely important in business writing. Eliminate any language that is not essential to your purpose.

Key Terms

primary audience: The reader or readers for whom a piece of writing is intended.
secondary audience: The reader or readers who may also read a piece of writing, even if the piece was not originally intended for them.
genre: A category or type of writing.

Business writing has changed a great deal since the days of typed memos and reports. While reports and memos are of course still relevant, the world of business writing has expanded to include email, PR communications, social media, and much more. Each genre of business writing carries its own conventions of organization, voice, and audience.

Genre

Some of the writing genres you will encounter in the business world include the following: resumes and cover letters, proposals, instructions, business and sales letters, emails, business plans, case analyses, memoranda, performance reviews, and professional biographies. The audiences and purposes will vary with each type of writing (and even within genres themselves).

Organization

Different types of business writing require different patterns of organization. Depending on whether you want to simply inform, convey good news, make a direct request, convey bad news, or persuade your audience of something, you might choose from any of the following organizational structures:

Direct and to the point; starts right away with a problem or request
Detailed explanation: state the problem and offer ideas for solutions
Present ideas and evidence first, then conclusions or recommendations

Style, Voice, and Tone

Writing in the business world is always formal and uses a third-person voice (“he,” “she,” “they”), although you may use contractions to sound more natural. In some cases, such as emails and sales letters, a slightly less formal tone (“I” and “you”) is permissible, but the subject and voice should always remain businesslike. Above all, less is more—be as concise as possible, eliminating needless words that are not essential to your purpose.

Audience

You probably already know how to properly address the primary audience (the person or persons who are the intended recipients). It’s also crucial to remember that any and all forms of business writing should be appropriate for secondary audiences as well (i.e., people or groups for whom the writing may not have been originally intended, but who might read it anyway). For example, you might submit a proposal to your direct supervisor (your primary audience), who in turn may pass it on to his or her supervisor, a task force or committee, or some other secondary audience.

Chapter 8: Rhetorical Modes

8.1: Introduction to Rhetorical Modes

8.1.1: Introduction to Rhetorical Modes

The judicious use of rhetorical modes in oral and written communication can strategically strengthen the message being delivered.

Learning Objective

Explain the meaning of “rhetoric” as it relates to written communication strategies.

Key Points

The term “rhetoric” refers to the art and study of the effective use of language to communicate a message.
Writers and speakers employ specific techniques in order to effectively persuade or affect an audience.
Rhetorical devices are applicable to both expository and creative writing.
When the technique overpowers the message, the term “rhetoric” can become derogatory.

Key Terms

creative: Creative writing is the imaginative use of words to convey meaning, whether through narrative, poetry, or imagery, with the intent to elicit an emotional response (rather than to inform).
expository: Writing is termed “expository” when it is intended to inform and instruct; presenting reasons, explanations, or step in a process. Expository writing should contain a main idea, supporting details, and a conclusion.
rhetorical modes: Conventions of writing and speaking used strategically to present a subject in a particular manner to an audience
narrative: Narrative writing is the telling of a story; reporting connected events, whether real or imagined.
rhetoric: The strategic art of informing or persuading an audience with the written or spoken word; the study of the design, organization, and techniques associated with effective written and oral communication

The Power of Rhetoric

We’ve all had the dual experiences of sitting spellbound, listening to a master storyteller weave a tale that leaves us breathless, and of enduring a speech that seemed too long from the first sentence. When we write, we naturally hope to emulate the former, rather than the latter. We want our words to spark the reader’s imagination and deeply engage them in our topic of choice. No one wants to be a bore.

The art of rhetoric began in ancient civilizations around the world as both an art and a tool. Captivating audiences is both politically expedient and socially desirable, and from antiquity to present day, those who hold the people in the palm of their hand also hold the power.

In examining rhetorical modes, we’ll be tapping the same collective wisdom used by Aristotle, Confucious, Demosthenes, Abraham Lincoln, Elizabeth Cady Stanton, Winston Churchill, Charles de Gaulle, Dr. Martin Luther King, Jr., Nelson Mandela, and yes, even Adolf Hitler, to bring an audience to its feet. Whether your intention is to write a stirring speech or compose a moving piece of prose, familiarizing yourself with these techniques will give you the tools you need to move and inspire.

But please, before we begin, promise that you’ll use your newfound power for good.

Two Types of Writing

There are two writing environments in which you’ll use rhetoric: expository writing and creative (or narrative) writing. The difference lies in the purpose of the piece. An expository essay aims to inform and instruct, while a narrative essay is a story meant to entertain.

Differences in form arise from these differences in purpose. Guidelines for expository writing emphasize clarity and brevity in order to make an emphatic point. Narratives, on the other hand, can wander or get to the point, depending on the type of story being told and the intention of the storyteller.

A reliance on fact necessitates evidence to back up assertions, whereas a reliance on story requires faithfulness to the spirit of the event or memory being relayed. Both types of writing can be riveting, but they require different approaches and tools.

Rhetorical Modes

Here is a list of common rhetorical modes along with brief definitions. As you read through them, see if you can imagine an example of each. Which do you think might likely show up in an expository essay, and which would seem natural for creative writing?

Argumentation and Persuasion – making a case for your opinion or the perspective you wish your audience to take by offering supporting ideas or facts

Classification – breaking a subject into its separate parts and grouping these based on common traits

Cause and Effect – connecting events by showing how a given stimulus created a particular response

Comparison and Contrast – illustrating the ways in which the subject of choice is like or different from something else

Definition – a precise explanation of a term given in enough detail that one who is not at all familiar with it will understand it

Description – capturing in words a concept, character, setting, idea, person, or object so that the reader or listener can visualize the subject

Illustration and Exemplification – offering the reader/listener examples in order to clarify a concept or idea, “showing” what is meant through instances of use

Narration – sequencing events in order of time, often using sensory elements to help the reader or listener identify with the story

Process Analysis – breaking an event or action into smaller parts and explaining its steps from beginning to end, often offering reasons for each step

The Judicious Use of Rhetoric

The one caution with using rhetorical devices in written or spoken communication is that too much “technique” makes a speech, an essay, or a story tedious, at best, and manipulative, at worst.

You’ll need to study the techniques enough to use them skillfully, so as not to sound inauthentic. Sincerity always makes for the best writing, so while the techniques you’ll learn about here are invaluable when used wisely, they become distasteful when overused.

8.2: Types of Rhetorical Modes

8.2.1: Argumentation and Persuasion

Argumentation and persuasion are rhetorical modes used to convince others of an opinion, belief, or the merits of a course of action.

Learning Objective

Determine the purpose and structure of argumentation and persuasion.

Key Points

Argumentation and persuasion are both used to convince others of an opinion, belief, or the merits of a course of action.
Argumentation uses logic and objective support to convince the audience of the veracity of an argument.
Persuasion appeals to the emotions of the audience to convince them of the inherent value of a stance.
There are appropriate settings in which to use both argumentation and persuasion.
The decision to use either argumentation or persuasion (or both) will guide the writer as to the writing process and the selection of primary literary tools.
There is a generally accepted structure for a persuasive/argumentative essay that allows within it the opportunity for creative expression.

Key Terms

pathos: A method of persuading others by creating an emotional response in them.
ethos: A method of convincing the reader/listener through the credibility of the writer/speaker.
logos: A method of convincing people through logic and reason.

Why, Oh Why?

When we decide to put an opinion out there, we’re doing it for a reason. Usually, the reason is that we want people to agree with our perspective and even take up the cause themselves. This is where you give your audience the why: why your point makes sense, why your suggested course of action is the best, why other ideas are not as sound, and why your thesis should be tattooed over their heart. Well, okay, maybe that’s going a little far.

Tattoos aren’t a bad example, though. Someone or something had to be pretty inspiring or convincing to get them to emblazon a symbol permanently on their body.

How can you be that convincing? There are two major strategies for answering the “why” of your thesis: arguing through logic and convincing through emotion.

Argumentation

We can think of a constructed “argument” not so much as an adversarial endeavor, but a search for the truth of a matter. Just as Supreme Court justices are charged with listening to all evidence before coming to a conclusion that will best serve the Republic, you may assume that your reader is seeking the most reasonable perspective to take, based on all the facts.

Your job, then, as the writer of an argument, is to present the reader with the arguments and evidence supporting both (or all) perspectives and reason out why your thesis is the most logical conclusion. The tone of such writing is dispassionate and objective; reason is king.

A common mistake about writing argumentation is presenting only the arguments that support the opinion you want your audience to adopt. That approach is less effective, because the reader’s mind naturally jumps to logical objections and counter-arguments, and if those doubts are not addressed, the reader remains suspicious and therefore unconvinced. When you contend with all the potential objections, however, the reader’s mind is satisfied and he or she can rest comfortably in your conclusion.

Another common error in argumentation is presenting a weakened argument for opposing opinions, in hopes that a cursory glance at and dismissal of the counter-arguments will satisfy the readers’ doubts. Most readers will see through this strategy, though, and lose respect for both the writer and the argument as a result. You want your thesis to be strong enough to stand up to strict critical scrutiny and demonstrate that strength in your argument.

For these reasons, argumentation is a rigorous endeavor. You usually won’t even begin to formulate a thesis for such a paper until you’ve done extensive research, because you’ll want to be well-educated on the topic before coming to any conclusions yourself. The good news is that your process in deciding what you believe is fodder for informing your audience: once you’ve done the discovery, you can lead your readers on the path you yourself followed to the conclusion that feels natural to you. If your own search was thorough enough, and if you express it clearly, your audience will be more likely to agree with you, or at least to respect your opinion.

Consider an argument, then, a sincere effort to find the “truth,” or at least the best option for the situation in question.

Tools for Argumentation

The most effective tool in argumentation is solid support for each aspect of the argument. You will create an ethos of credibility to the extent your reader finds you trustworthy. To this end, you will need to consider both the effectiveness of the source for making your point (whether it is a quote, facts, or data), as well as the reader’s perception of the source of that information.

Reliable research has certain markers that make it credible. In a quantitative study, for example, sample size is important to ensure the data is truly representative. Data saturation is a key in qualitative research. An example of unreliable research would be the claim, “Voted best fish taco in the world three years in a row!” Who voted? The kitchen staff? Though you don’t have to be a researcher yourself to make quality arguments, you need to learn where to look to find studies that are, in fact, reliable. Which brings us to the next point.
You’ll also need to assess the perceived reliability of the source. Studies funded by cigarette companies on the effects of cigarette smoke are less likely to find deleterious effects than studies commissioned by the National Institutes of Health, or at least we might logically assume that. You’ll want to avoid any appearance of bias, along with any actual bias. If your reader perceives your sources as objective and reliable, he or she will trust you and be willing to follow your argument to its conclusion.

Persuasion

If you’re less “Dr. Spock” and more “Captain Kirk,” though, you might be more inclined toward persuading your audience to believe as you do. We’ve all had friends who can talk us into almost anything. How do they do that? They get us in trouble by effectively prodding our emotions.

Your intentions, of course, will be noble, but the technique works either way.

Persuasive writing is about convincing the reader that your opinion is the one he or she should adopt. The focus is on the opinion itself, rather than any counter-arguments, and the reader is led (or lured) step by step to feel increasingly more comfortable with the thesis. The tone can be more aggressive and passionate than in argumentation, because the writer is appealing to the reader’s emotions, rather than to the logical mind.

You’re in a plane for the purpose of skydiving with your daredevil buddy, but you’ve never done it before and you are hesitant to jump. Your friend doesn’t discuss the possibility of your leg breaking or the chute not opening. No, instead your friend talks of the thrill you’ll feel as you soar through the air, the confidence it will give you to have done something so daring, and the bragging rights you’ll have once you’re on the ground. There might be a statistic or two thrown in about how few people get hurt skydiving, and there may even be a warning about what you’ll feel like if you don’t jump, but mostly your friend is there to inspire.

Naturally, you jump.

How does one translate such prodding into writing? It’s all about conviction and anticipation. Your friend intuited your objections, but rather than mentioning them, simply countered with an affirmation of the thesis (jumping out of airplanes is great). The benefits of believing this way are going to make all counterarguments obsolete, so rather than entertain those, we’ll just keep stepping up the emotional pressure to embrace the thesis.

Tools for Persuasion

The most effective tools in persuasive writing are examples and sensory images.

Examples (illustrative stories) help your reader identify with someone experiencing the plight you describe. Identification with another being is a powerful pull on the emotions. “The homeless man, finding the shelter closed once again due to overcrowding, casts his eyes to the bustling sidewalk, hoping someone, anyone, will catch his eye and offer help, even if it’s only the feeling of connection to another human being.”
Sensory images, unlike logic, appeal to our emotional center. Reading or hearing how something looks, tastes, smells, sounds, or feels can create a visceral response in us. “He sighs and shuffles off to the tattered old refrigerator box that provides little insulation from the icy ground and reeks of the garbage piled inches from his face.”

Choose Your Method

You may have come to the conclusion that an argumentative essay is a more sophisticated way of getting someone to see a particular perspective. It’s true that the argument is usually considered the more formal writing style, but there are cases in which pathos may be more appropriate than logos. How do you know which to choose?

Audience – Know to whom your words will be directed. Are your readers more likely to be swayed by peer-reviewed research or emotional appeals?
Occasion – There’s something to be said for gauging the right time for facts and the appropriate time for conviction. Are you writing a State of the Union address, where you’re hoping the audience will leap to its feet with applause every few paragraphs, or are you explaining to your board of directors why your company should go public in six months?
Purpose – Similarly, you’ll want to keep the end-game in mind. Asking your readers to take an immediate action might require a different approach than asking them to permanently alter their belief system.

Here is an example of the use of a persuasive piece of writing. Do you think it would have been more effective as a logical argument?

The Black Panther Party’s 1966 Ten Point Program outlined demands and beliefs that the organization believed would begin to repair some of the damage of slavery and racism in the United States. Here is #5 from the “What We Want Now!” section (note that even the exclamation point hints at the persuasive nature of the argument):

“We want education for our people that exposes the true nature of this decadent American society. We want education that teaches us our true history and our role in the present day society.”

Over a decade earlier, Thurgood Marshall had presented a petition along the same lines to the Supreme Court, only he chose to use argumention:

Although he raised a variety of legal issues on appeal, the most common one was that separate school systems for blacks and whites were inherently unequal, and thus violate the “equal protection clause” of the Fourteenth Amendment to the U.S. Constitution. Furthermore, relying on sociological tests, such as the one performed by social scientist Kenneth Clark, and other data, he also argued that segregated school systems had a tendency to make black children feel inferior to white children, and thus such a system should not be legally permissible.

Though both pleas relate to offering a stronger system of education for people of color, the context for each assertion was different. One had as an audience the general public; the other, at least initially, spoke to court justices. The occasion of arguing before the Supreme Court required Marshall to make a formal and objective case, whereas the Black Panthers were seeking a dramatic shift in the public perception of the status quo. Marshall’s purpose was to build an argument that would stand up to scrutiny for decades or even centuries to come, in any instance of societal segregation, and while the Black Panthers would likely have agreed with that goal, their immediate purpose was to lift the veil of white privilege.

You might notice, though, that there are elements of persuasive language in Marshall’s argument: he speaks of “a tendency to make black children feel inferior,” which hints at pathos. The reason we wouldn’t categorize it as such, though, is because he is citing sociological data: he is presenting this tendency as a fact, not trying to manipulate the court’s emotions.

Similarly, the organization of the Black Panthers’ Ten Point Program might seem akin to a logical argument, but the content of “What We Want Now!” is grounded in ideas of right and wrong, rather than objective data.

So, impassioned plea or reasoned argument, let’s look at the steps to creation.

Steps to Creating an Argument

Consider your topic. What are some questions that come up for you about this topic? What do you expect to find as you research it? How might people disagree about the topic?
Research the topic. Find out what’s being said about the topic on both or all sides of the issue. Look at the primary writers or speakers championing each perspective and allow yourself time to marinate in each of their ideas.
Choose the perspective you agree with. Having read material representing each general idea about the topic, you will likely find yourself agreeing with one or another. Formulate a preliminary thesis statement based on your conclusions.
Go back to the literature to support your thesis statement, but be open to changing it if more information comes to light.
Identify each counterargument, finding the most cogent resources for each, and make your best argument against these using the most applicable and reliable sources to support your perspective.
Organize your paper in a way that will most effectively anticipate the reader’s mental journey through the topic.

Steps to Persuasion

Search your feelings for a response to the topic. What kind of emotions come up around it? What is your initial gut reaction to a statement for and a statement against the topic?
Decide what you want to convince others about concerning this issue. What feels meaningful to you concerning this topic? Create a thesis statement that reflects this desire.
Outline an argument based on what you believe and feel, then dive into the literature to find out what others have had to say on the topic. You’ll want to look at objections to your opinion as well as supporting evidence in order to anticipate your reader’s thought process, even if you won’t be including all of these references in your paper.
Find or create stories and sensory imagery that will speak to the reader’s emotions.
Organize your paper in a way that puts increasing pressure on the reader’s emotions. Often, this means beginning with imagery that orients the reader to the situation and then intensifying the pathos as you go. Keep counterarguments in mind as well, as you attend to organization.

If you are combining the approaches, you’ll want to create your paper based on the steps to creating an argument and then incorporate sensory imagery, stories, and impassioned pleas into the structure as appropriate — often in the introduction and conclusion.

Structure of the Argumentative and Persuasive Essay

While you can use argumentation and persuasion in any type of writing, a common venue is the essay, in which you’re asked to argue for or against a position.

While there are no hard and fast rules to structuring your essay, there are some generally accepted conventions that will give you a head start in creating your argument and allow you to focus on content.

Introduction

Think of the introduction as an inverted triangle; a funnel. You want to begin with a broad introduction to the realm of thought and end with a very specific thesis that the rest of the paper will prove. The purpose here is to capture the reader’s interest and quickly move him or her to an understanding of your point of focus.

Introductory sentence. This is where you can spark your audience’s interest in the topic. You can use pathos here or make a bold statement of fact, either of which can serve as a “hook” to capture the reader’s attention.
Linking sentence. Here, you narrow in on your topic more specifically. Again, you may choose to accomplish this through imagery, a statement of fact, or by simple explanation. By the end of this sentence (which could actually be as many sentences as you need to accomplish the task), your audience should know the problem you wish to address and why it’s important.
Argument #1. Here, you’ll preview the first argument in favor of your thesis, which you’ll expound on in the first body paragraph. You haven’t stated your thesis yet; these three sentences will lead your reader to it naturally. So think of these three (or more) sentences as priming the pump for the rush of clarity that is your thesis statement.
Argument #2. Again, this sentence is merely a statement of what you’ll expound on in the body of the paper: this time, in the second body paragraph.
Argument #3. Here, you’re simply stating the argument for the third body paragraph.
Thesis statement. The thesis statement should flow naturally out of the arguments (hence, the funnel analogy). It should be clear, concise, and one-sided.

Body Paragraphs

Each of the paragraphs in the body of your paper will serve the thesis statement. Each of these paragraphs will have its own point to prove related to the thesis. A well-structured argument will grow stronger with each paragraph, whether the technique is argumentation or persuasion.

Each body paragraph (and three to five paragraphs for a body are the standard guideline) should contain

A topic sentence. Also called a “sub-thesis,” the topic sentence is a main point that supports your thesis statement. You can refer to the thesis statement in this sentence to remind your audience how this main point relates to it.
Evidentiary sentences. Here is where you offer evidence and explanations to support the veracity of the topic sentence. Rather than a simple listing of supporting evidence, though, you’ll want to form a coherent paragraph linking each item thoughtfully. Phrases like, “not only,” “therefore,” “in addition to,” and “moreover” are commonly found linking pieces of evidence in a body paragraph.
Concluding sentence. Here, you will link the first topic sentence — the one you just gave evidence for — to the second topic sentence which you are about to introduce. Think of this sentence as a vital link of a chain. Without it, your audience will not be able to follow your line of thought. How does the point you just proved relate to the one you’re about to prove?

Counterarguments

In an argumentative essay, you can include counterargument paragraphs either directly after the main point they attempt to contradict (thereby getting the objection out of the reader’s mind right away), or you can entertain counterarguments in a series of body paragraphs after your main points supporting the thesis. The structure mimics the body paragraphs but instead of offering evidence for the topic sentence, you are offering evidence disproving the counterargument.

Persuasive essays generally do not entertain counterarguments.

Conclusion

Just as the introduction began broadly and ended with the specific point of the thesis, your conclusion will begin with the thesis and broaden. Ideally, it will also link back to the imagery or facts that began the introduction. Such linking works with the reader’s memory to create a satisfying feeling of completion.

Restatement of the thesis. In this first concluding sentence, you remind the reader of the thesis statement you have now given evidence for. Common lead-ins for this sentence are phrases like, “It is clear now that…,” “We have seen how…” and “Given the preponderance of evidence…”
Summary of the main points. Here, you’ll restate the main points of your argument. You can present them in a different way here than in the body of the paper, perhaps by combining them or incorporating them into a story or image.
Broadening statement. This is where you can link back to the first sentence of the introductory paragraph. Has the sad image you led with found a happy ending with your thesis in place? Might the disturbing facts turn around based on following your main points?

Keep in mind that while you don’t want to sound like you’re following a script or a formula and simply plugging in your topic, using a structure can allow your creativity to shine by allowing you to focus on content.

Have fun with your argument! Play with the ideas until you feel a spark ignite. Come at it from various angles and surprise your reader with new perspectives. Arguing your position can be both effective and enjoyable— both for you and your audience.

8.2.2: Classification

Classification is a method of creating better understanding of a subject by identifying the categories to which it belongs.

Learning Objective

Determine the purpose and structure of classification.

Key Points

The purpose of classifying is to reveal in a subject what might remain obscured if left uncategorized, in order to know the subject more completely.
The classification system selected indicates the meaning the writer wants to reveal about the subject.
Initial brainstorming and subsequent research are important steps in selecting a system of classification for a subject.
The introduction to a classification essay includes an extended definition of the subject, identifies the classification system and categories, and explains why this exercise of classifying will enhance the reader’s understanding of the subject.

Key Terms

mind map: An artistic representation of thought patterns, created during brainstorming around a specific topic. The representation usually includes lines linking circled concepts, with subcategory link lines emerging from larger category circles.
classifying: Arranging things, ideas, or people into groups based on certain characteristics.
classification: The process of classifying something according to shared qualities or characteristics.

Why Classify?

We spend most of our time trying not to fall into the trap of stereotyping and “pigeon-holing,” so as not to limit the potential of a person or thing. After all, aren’t we supposed to be looking for our similarities, rather than our differences?

Well, yes, of course, and yet there are times when identifying what categories a person, a group, a phenomenon, or a thing might fall into can create a better understanding of it — and even of the whole.

Our purpose in classifying is to reveal what might otherwise remain obscured, which can help us know something more completely.

Take love, for example. We can take it as a whole concept and revel in its consistency; its sameness; its consistent effects. There’s nothing wrong with that. And yet, if we want to really understand love, we begin to suss out its nuances and intuit various types of love. We see that romantic love is one thing, but the love between a parent and child has some different qualities. And the love of a divine being seems to differ from the human love we generally experience. Even love between a dog and its master has unique qualities. Oh, and then there’s teacher-student love and the kind of love you feel for the world when everything is going well, and what about the love of self?

Examining anything can take you down a similar path. You could categorize people by common behavioral traits; horses by physical attributes; chairs by style; wind by speeds; trees by leaf shape.

Of course, you could also categorize people by belief systems; horses by temperament; chairs by comfort level; wind by direction; and trees by root structure. And herein lies the key to classification: choice of system.

Choice of Classification System

Remember, your purpose in classifying is to illuminate the parts to better understand the whole. You can think of selecting a system of classification, then, as choosing your magnifying perspective. What kinds of things do you want to reveal? And why?

Let’s get back to love for a moment. What purposes might it serve to classify love by type? Well, as a reader I will likely want to see if I can find each kind of love in my own life experience. That might be helpful to see where there might be gaps. If I don’t have a child, and I feel a sense of longing when I read about “storge,” and the empathy bond, I might identify a need I didn’t realize I had. Or if, when I read about “eros,” I roll my eyes, I might discover how cynical I have become because of my last failed relationship. C.S. Lewis’s categorizations of love, then, might assist the reader in discerning the types of love one can identify in one’s own life and the types that may be missing. Psychological or spiritual growth are possible results from this illumination.

Another way to categorize love might be the various ways people tend to feel loved. Some people tend to feel loved when they received gifts, others when their partner gives them words of affirmation. Physical touch, acts of service, and quality time are other indicators for people that they’re loved. Finding out which of these ways speak most to you can help you ask for what you need, and quizzing your partner about the categories can be revelatory, assisting you in knowing how best to communicate love to him or her. Gary Chapman’s work categorizing expressions of love, then, can affect the quality of relationships.

You can see that choosing by Lewis’ categorizations system or Chapman’s, you will be laying bare different aspects of the phenomenon of love. And so much of the work that goes into a categorization essay, or any categorization effort, will be in the identification of the system.

Steps to Choosing a Classification System (Pre-writing)

Since it’s such an important part of classification, let’s take a look at how one might begin to select a classification system.

Small Furry Mammals

Brainstorming the various classification systems your subject could be categorized under can help reveal which you might find the most meaningful and elucidating.

Small Furry Mammals Classification Brainstorm

Brainstorm. One way is to begin with your own brain. Having chosen a topic (lets go with furry mammals this time), simply start brainstorming on your own or with friends about how the topic could be broken down. You might choose to create a mind map for this process, as it will then be easy to see, when you’re finished, where most of your thoughts centered.
Do some research. Choose the brainstormed category that most interests you and do an initial search to see what other divisions exist in that category. For example, if you want to write about the grouping types of small furry mammals, you’ll want to find out what scientists call this, and the names they use for each category. If you’re still interested in this categorization system, you can move on to the next step, and if you’re not, your research can lead you in a new direction.
Select the three (or so) most applicable categories to use for your topic. Three categories is a general guideline, so you may need to group categories together if there are more, e.g. mammals who live in family groups would include both mammals who mate for life and those that live together when the offspring are growing. You can talk about the distinctions in the paragraph for that category, if necessary.
Check your categories to be sure they do indeed exist in the same categorization system and are distinct from one another. For example, if you are categorizing woodland creatures by habitat, you’ll be choosing what “habitat” means. There can be tree-dwelling mammals who live in the rainforest and tree-dwelling mammals who live in the dessert, and still more in woodland areas; so you wouldn’t want “tree-dwelling” and “rainforest” to be presented as two different categories in the same system.
Place your subject into the categories you’ve selected and see how they fall. Do these categories shed light on the subject as a whole? How? Why is it interesting and important to look at the subject through the lens of this categorization system? Once you answer those questions, you’re ready to write your paper.

Structure of the Classification Essay

Introduction

You’ll generally begin your essay with an extended definition of the topic and a description of the classification system you’ll use. This will lead to your thesis statement, which will:

identify what you will be classifying (a brief reminder of the topic you’ve defined),
explain the classification system you will use,
list the categories you’ve selected, and
explain why this classification system is important to the reader’s understanding of the topic.

Body Paragraphs

Each body paragraph will be centered around one of the categories from the classification system. You’ll want to choose an order for the body paragraphs that makes the most sense to you. You may choose to present the categories in order of impact, or from most important to least important, or from least surprising to most surprising. If you were the reader, which order would be the most convincing?

Body paragraphs include

an explanation of the category
how the topic fits into the category, and
what makes this categorization meaningful

Conclusion

In the final paragraph, you’ll want to bring the parts you’ve just created back into their status as a whole. Here is where you lay out the meaning you’ve shed on the topic by putting it into categories. What more do we now know about small, furry mammals now that we’ve seen the variety of their habitats? Might it say something about evolution? About their adaptability? About their usefulness as research subjects? You’ll want to consider the interests of your audience here.

As with most essays, your conclusion will be like an inverted funnel:

starting with a restatement of the thesis,
broadening to discuss the meaning of the findings, then
making a more general statement that relates back to the introduction’s opening.

Classification essays can be quite useful in clarifying concepts and revealing a subject’s deeper meaning if the paper is well-constructed. The keys are selecting a classification system and categories that are coherent and clearly revealing the relevance of each category to the whole.

8.2.3: Cause and Effect

The rhetorical mode “cause and effect” is used to link an event with its consequences.

Learning Objective

Determine the purpose and structure of cause and effect.

Key Points

The rhetorical mode “cause and effect” is used to link an action, event, or decision, with its consequences.
In linking causes with effects, it is important to examine root causes and to avoid labeling coincidental occurrences as causes.
The organization approach to cause and effect essays will describe the subject of the essay and examine either its causes or its effects.
The result of reading an effective cause and effect essay will be to see links between previously unlinked events and to find links between the subject of the essay and broader phenomena.

Key Term

cause and effect: A relationship between events where one creates or initiates the other.

Just Because

The rhetorical mode “cause and effect” is used to link an action, event, or decision, with its consequences. It answers the question, “Why X?” with “X because Y.”

We use cause and effect thinking all the time; it’s the way our brains function. We look for patterns and linkages everywhere.

My stomach is upset. I bet it was the fish I had for lunch. I had a funny feeling about it, but I just added more lemon juice and ate it anyway. That’ll teach me not to listen to my intuition!

We talk to one another about causes and effects all the time, too:

Nikki’s middle fingers on her right hand are deformed because they were broken when she was eleven year old and her sister slammed the piano top down. That’s why she looked at you funny when you said it must be nice to have siblings.

Sometimes (some would say far too often), we even link effects to the wrong cause:

I have to wear my red blazer to the game this afternoon! I’ve worn it to the last three games, and they won every time. The time before that, it was too hot and I didn’t wear the blazer, and they lost by three points. I shouldn’t have let them down like that. Never again!

Purpose of Cause and Effect Exposition

You can use cause and effect as the basis of an essay or as a clarification tool in any writing. Mystery novels are often based on figuring out the cause of a particular undesirable effect.

Why make links between causes and effects in your writing?

to clearly identify linkages between an event and its consequence
to establish a precedent that will inform future decision-makers
to better understand the nuances of a phenomenon’s evolution

Common Pitfalls in Linking Cause and Effect

Whatever your purpose, you will want to avoid the following:

Mistaking coincidence for cause and effect. Just because two items happened at the same time or place, or because one followed the other, doesn’t mean that one event caused the other. Remember the red blazer example, above.
Misattribution of cause. In a similar vein, sometimes we can make attribute an effect to a cause that is related to the actual cause but may not be the cause (or isn’t the whole story). For example, you may assert that cash depletion in your bank account is due to the high cost of gas, but the reason you have spent so much on gas is because you’ve taken several extra trips since buying the car. You could argue for either reason, but if there is a related cause like this that you choose not to address, your argument will be insincere and weak.

Organization of the Cause and Effect Essay

You have an initial choice to make in your cause and effect essay: which is your focus? You might choose to focus on one effect (e.g., Hitler’s rise to power in the 1940s) and explore its possible causes:

Effect

You may wish to examine the multiple reasons a phenomenon occurred.

Examining the causes of a phenomenon.

Another option is to explore the multiple effects of one event, action, or decision.

Cause

You may wish to examine the various effects of a particular phenomenon.

The effects of a particular event.

For clarification purposes, we will identify the subject as the phenomenon in the circle on the left side of the graphic, either the one cause or the one effect.

Introduction

Begin with a sensory image having to do with the subject of your essay (which could be either cause or effect). Here is an example from an essay that will go on to link “The Troubles” in Northern Ireland, which ended with the murder of Robert McCartney, to a series of decisions to militarize efforts at Irish reunification:

Bridgeen Hagans stood bleary-eyed at the door, trying to understand what the Belfast policeman was explaining: Her fiance, Robert McCartney, had been slit from chest to stomach by members of the Professional Irish Republican Army. There would be no wedding.

Link the image to the effect(s) that will be examined.

Over 3600 people died in the 30-year span of The Troubles in Northern Ireland.

Link the effect to the event(s), decision(s), or action(s) your paper will discuss.

Though the conflict is officially dated from 1968-1998, several decisions both before and after these dates comprise the reasons behind the deaths: decisions to militarize political action groups

Expound on the specific event(s), decision(s), or action(s) your paper will focus on:

We will look specifically at the origins of the conflict dating all the way back to 1609, with the Scottish and English settlement of Ireland, the Civil Authorities Act of 1922, and the civil rights march in Derry in 1968. We will also examine the post-Good Friday Agreement violence resulting from militarization.

Transition to your thesis statement by exposing the purpose of examining these linkages.

In the interest of lasting peace in Ireland and around the world, it is imperative to understand the roots of its undoing. By identifying the causes of The Troubles, we can begin to pinpoint the precursors of mortal conflict between cultures.

Body Paragraphs

Your first body paragraph will describe your subject (the cause, or the effect, depending on your organization). Your reader will need to fully understand what it is you are attempting to explain or identify:

Most climate scientists agree the main cause of the current global warming trend is human expansion of the “greenhouse effect”— warming that results when the atmosphere traps heat radiating from Earth toward space. Certain gases in the atmosphere block heat from escaping. Long-lived gases that remain semi-permanently in the atmosphere and do not respond physically or chemically to changes in temperature are described as “forcing” climate change. Gases, such as water vapor, which respond physically or chemically to changes in temperature are seen as ‘feedbacks.’

Subsequent body paragraphs, except for the final body paragraph, will each be dedicated to the causes or effects you will be examining (the causes of the phenomenon you have just described or the effects of the event/decision/action you have just described).
Body paragraphs can be organized by the impact you anticipate they will have on the reader (often from less dramatic to most), or in chronological order. Choose the order that will make the most sense, both logically and emotionally, to the reader.

Water vapor. The most abundant greenhouse gas, but importantly, it acts as a feedback to the climate. Water vapor increases as the Earth’s atmosphere warms, but so does the possibility of clouds and precipitation, making these some of the most important feedback mechanisms to the greenhouse effect.

Carbon dioxide (CO₂). A minor but very important component of the atmosphere, carbon dioxide is released through natural processes such as respiration and volcano eruptions and through human activities such as deforestation, land use changes, and burning fossil fuels. Humans have increased atmospheric CO₂ concentration by more than a third since the Industrial Revolution began. This is the most important long-lived “forcing” of climate change.

Methane. A hydrocarbon gas produced both through natural sources and human activities, including the decomposition of wastes in landfills, agriculture, and especially rice cultivation, as well as ruminant digestion and manure management associated with domestic livestock. On a molecule-for-molecule basis, methane is a far more active greenhouse gas than carbon dioxide, but also one which is much less abundant in the atmosphere.

Nitrous oxide. A powerful greenhouse gas produced by soil cultivation practices, especially the use of commercial and organic fertilizers, fossil fuel combustion, nitric acid production, and biomass burning.

Chlorofluorocarbons (CFCs). Synthetic compounds entirely of industrial origin used in a number of applications, but now largely regulated in production and release to the atmosphere by international agreement for their ability to contribute to destruction of the ozone layer. They are also greenhouse gases.

The final body paragraph will describe the significance of the relationship between the subject and the causes/effects just discussed.

On Earth, human activities are changing the natural greenhouse. Over the last century the burning of fossil fuels like coal and oil has increased the concentration of atmospheric carbon dioxide (CO₂). This happens because the coal or oil burning process combines carbon with oxygen in the air to make CO₂. To a lesser extent, the clearing of land for agriculture, industry, and other human activities has increased concentrations of greenhouse gases.

Conclusion

Your conclusion will offer:

a brief summary of your points linking cause(s) and effect(s)
an indication of why these linkages are important, and to whom, and
a link back to the introductory paragraph’s imagery, if appropriate.
The following example is the conclusion to a 2015 article by Francisca Carvajal and Jose Manuel Lerma-Cabrera: Alcohol Consumption Among Adolescents — Implications for Public Health.

At 1.8 billion, adolescents and young adults represent more than a quarter of the world’s population. Many health-related behaviors usually starting in adolescence (i.e. alcohol use) contribute to disease in adulthood. Several studies have indicated that a considerable amount of adolescents drink alcohol, and this number is continually growing. Nevertheless, the increase in alcohol use and abuse among adolescents has been coupled with increasing social, health and economic consequences. Adolescents who drink alcohol may experience a range of adverse short-and long-term consequences, including physical and mental health problems, violent and aggressive behavior, and adjustment problems in school and at home. Clearly, underage drinking and its consequences present a significant public health problem that must command our attention.

8.2.4: Comparison and Contrast

Efforts at comparison-contrast look at the commonalities of and differences between subjects in context in order to discern deeper meanings than might otherwise be possible.

Learning Objective

Determine the purpose and structure of comparison and contrast.

Key Points

The comparison-contrast method is used to expose the similarities and differences between two (or sometimes more) ideas.
The point of comparison-contrast is to find a deeper understanding of both subjects and their context than you would in looking at the subjects alone.
You can compare and contrast two subjects on even terms, or you can use one subject as a lens through which to view the other.
The context for the comparison/contrast is as important to examine and explain as the subjects.
Prewriting exercises using Venn diagrams or charts can be especially useful for this type of essay.
Research on the context and both subjects of the essay will deepen your thought process and better ground your discussion.
Body paragraphs in the comparison/contrast essay can be organized in a variety of ways, depending largely on the conclusions you want your reader to make.
Both the introductory and concluding paragraphs of the comparison/contrast essay need to include explanations of and links between the context and subjects of study.

Key Term

comparison-contrast: A method of investigating a topic by comparing two or more subjects to discern their similarities and differences in a particular contextual frame.

This and That

The comparison-contrast rhetorical method is used to expose the similarities and differences between two or more ideas, resulting in a deeper understanding of both ideas and their relationship. Notice that we’re talking about ideas here, rather than “things,” or “texts.” That’s because the underlying theme, even when comparing two texts or two things, is always about the ideas they represent.

Comparing and contrasting are common activities our minds play with all the time. Like objects in space, we are drawn to one another almost gravitationally and want to know how we are all alike and different.

Knowing (or at least thinking about) how our behavior, our attitudes, our ideas, and our dreams match up to other people’s helps us make decisions. We may decide to try new things based on cultural patterns, or we might choose to buck the trends in favor of inner directives. Either way, though, this constant, subtle wondering about how we match up to others keeps our brains busy: for better or worse.

When we use this capacity for comparison in the realm of ideas, our intellect sparks to life. Diversity of opinion and thought is what perpetuates intellectual evolution. Exposure to two ideas that may be radically or only subtly different is exciting to the mind. We want to discern exactly how these ideas differ, what they have in common, and which might be the better option to choose in a given context.

You have an aunt who’s gone prematurely gray and wears her long locks proudly. Her mother (your grandmother), however, continuously dies her hair various shades of purple — violet one week, indigo the next — and relishes the wide-eyed wonder she sees in her grandchildren’s eyes. “You’re whatever age you want to be!” she laughs, while her daughter, your aunt, rolls her eyes and retorts, “You need to accept your body and yourself for who you are now.”

There’s nothing inherently wrong with either idea, right? But your mind will want to choose. That’s its nature. The exercise of comparing and contrasting makes this process conscious, turning “judging” into “discernment.” In the end, you might decide that both grandmother and aunt have hit upon important wisdom that, though different on the surface, both speak deeply to the idea of freedom.

Comparison-contrast essays distinguish themselves by their discernment capability. When looking at both similarities and differences between ideas, we are examining them with more care and rigor than some other methods require. Looking at a zebra and describing it gives you one level of information, while comparing its similarities and differences to a horse gives you another level: more nuanced and specific.

How to Recognize an Invitation to Compare and Contrast

In an academic setting, you might be assigned a comparison-contrast essay outright, but you might also be asked to compare and contrast using subtler language. Here are some examples:

Discuss the role of “the stranger” as presented in D.H. Lawrence’s Snake and J. Rumi’s The Guest House. (Here, you’re being asked to compare two poems using a particular lens.)
Tennessee Williams said that “We’re all of us sentenced to solitary confinement inside our own skins… Personal lyricism is the outcry from prisoner to prisoner from the cell in solitary where each is confined for the duration of his life.” How do the characters of Blanche Dubois, and Laura Wingfield embody both the solitary confinement metaphor and the outcry to other prisoners? (In this paper, you’ll be using two characters from different plays to delve into a meaningful comment by their creator.)
How do the dual themes of socio-economic status and personal innocence compete to create the primary conflict in John Knowles’s A Separate Peace? (This is a question relating to two plot threads and their effects on the climax of the story.)
Mina Loy, then in Florence, Italy, wrote to the feminist movement in 1914, “Cease to place your confidence in economic legislation, vice-crusades, and uniform education — you are glossing over Reality (sic). Professional and commercial careers are opening up for you — Is that all you want?” How might her comments be more or less applicable to the feminist movement of the 1970s and to women’s issues in present day? (You’re being asked to re-contextualize criticism of a particular movement in two different time periods.)
Which of the currently available typesetting machinery would be appropriate purchases for a newly incorporated, mid-sized printing company? (Even in business settings, you’ll need to use effective compare-contrast methods; in this case, comparing machinery based on a variety of factors important to a new business.)
Of the brassicas, which are the most likely to thrive in low pH soils with high levels of micronutrients? (Though we’re in the field of botany now, you’re still being asked to compare a group of things in a particular context.)

You can see that comparison-contrast works in a variety of different environments. In a general sense, any time you’re asked to evaluate two or more things in one context, you’re being asked to use this strategy.

Types of Comparison-Contrast Essays

The classic comparison-contrast essay gives equal time and equal emphasis to both of two subjects. You use this type of essay to discern similarities and differences, but also to reveal surprising revelations about their relationship.

A keyhole essay uses one subject as the frame to look at the other subject. Looking at the women’s suffrage movement through the lens of the women’s liberation movement would be an example. This kind of essay yields more specialized information than might otherwise be found.

How to Compare and Contrast

Prewriting

The Venn diagram is a useful tool when approaching a comparison-contrast essay. Simply create two overlapping circles and begin putting in the similarities you see in the overlapping section and the contrasting pieces in the separated sections. Do this as a brainstorm, without worrying about whether items are parallel or important enough to be analyzed. That comes later.

Comparing/Contrasting Poems

You can use a Venn diagram or a chart or table to brainstorm and record your initial ideas about how the subjects are alike and different.

The venn diagram compares “Where I’m From” by George Ella Lyon and “The Lanyard” by Billy Collins. The list of items unique to “Where I’m From” include “variety of childhood events,” “poignancy,” “variety of objects as imagery,” and “ancestors.” The list of items to unique to “The Lanyard” include “specific childhood event,” “humor,” “specific object as metaphor,” and “mother.” The shared items include “tone of gratitude,” “phrase repetition,” “reflecting on childhood,” and “place names.”

A table/chart/graph exercise similarly helps you organize your ideas and research.

Great Divergence- 1550-1850

Laying out the similarities and differences in graph or table form can give you the visual your brain needs to formulate a coherent comparison between subjects.

The chart compares the “European Economy” and the “Asian Economy.” The items unique to the “European Economy” include “increasingly higher wages for unskilled labor 1550-1850,” “colonization expanded resources,” and “state-enforced legal trade contracts.” The items unique to the “Asian Economy” include “falling wages for unskilled labor 1550-1850,” “resources dwindled in some areas (not in India, but then they were colonized,” and “honor-based trade agreements not enforced by government.” The common items include “coal mining,” “literacy rates,” “constraints on native resources,” “self-rule (except for India post-East India Co.), and “trading networks.”

Research

You’ll naturally want to learn everything you can about the subjects you’re working with—the two or more things you’re comparing and contrasting. But just as important is research about the context you’re comparing them in.

For example, in discussing the role of “the stranger” in both D.H. Lawrence’s Snake and J. Rumi’s The Guest House, your context is the concept of “the stranger.” You can research psychological and sociological views about strangers and fears; religious spiritual ideas and imagery speculating about what the presence of a stranger might indicate. You can go deeper and look up the Jungian concept of “shadow” and explore what other philosophers and psychologists have postulated. You could even find other literary references to strangers and shadows to get an idea of how the concept has been treated over time.

Structure of the Comparison-Contrast Essay

Introduction

The introduction will include exposition of

the context for the comparison,
a description of the subjects,
the rationale for choosing the subjects you’ve chosen, and
the thesis statement, which needs to make the relationship between subjects clear (often beginning with the word, “while” or “whereas”).

The Body Paragraphs

Body paragraphs can be organized by examining each subject one at a time:

Subject A

Point 1
Point 2
Point 3

Subject B

Point 1
Point 2
Point 3

This way of organizing can be especially useful if you are describing topics that may be difficult to understand and need a cohesive description. Its downfall is that the compare/contrast section that follows can either get repetitious (because you’ll have to repeat points you’ve already made) or look more like a list than a coherent discussion.

You could choose a paragraph by paragraph comparison of the subjects:

Point 1

Subject A
Subject B

Point 2

Subject A
Subject B

Point 3

Subject A
Subject B

This is a common method of organization, with the advantage of being able to present your points and your subject comparisons together. The disadvantage is that switching back and forth between subjects can get tedious or confusing for the reader if the writing is either too repetitious or unclear.

Another organization option is to first compare and then contrast.

Point A (Similarity)

Subject A
Subject B

Point B (Similarity)

Subject A
Subject B

Point C (Difference)

Subject A
Subject B

Point D (Difference)

Subject A
Subject B

In this way, you are emphasizing the differences, since you leave them for last, so if you want the main thrust of your paper to be that the differences reveal the crux of the issue, this style of organization may be the most useful approach. One drawback, however, is that in waiting so long to find contrasts, the reader may get a little bored.

However you organize the body of your paper, each point of your argument must be linked back to the thesis; each point must shed light on the relationship of the subjects to the context of the argument.

Conclusion

Here, you will summarize your points succinctly in a way that makes it clear how your points have proven your thesis. (E.g., “So while so-called “alternative” sources of power are, in the short term, more expensive than more conventional types of power, it is clear that increased seed money will decrease these cost differences and even the playing field. In the long run, the cost-benefit analysis so clearly favors renewable energy, there is no question of its superiority both fiscally and in terms of environmental cost.”)

As with most essays, you will then want to broaden your point and link back to the introductory paragraph, if appropriate.

8.2.5: Definition

The rhetorical mode “definition” explains a term that may be contentious, controversial, or ambiguous so that the audience and writer develop a common understanding of the idea.

Learning Objective

Determine the purpose and structure of definiton.

Key Points

In order to be worthy of being defined in an essay, a term should be complex, with meanings that can be traced historically that might even be controversial, and that will yield important insight upon examination.
Definitions include an exploration of the thinking of other scholars on the topic.
Exploring the history of words and phrases can give the writer, as well as the reader, a new respect for the language and its evolution.

Key Term

definition: As a rhetorical mode, a detailed explanation of a term and the way it is being used in a particular context; possibly including historical uses and ideas about the term over time.

What, Exactly, Do You Mean?

A definition essay, or the definition portion of an essay or other type of writing, guides the audience to a common understanding of a word or concept. No need to overuse this form: you won’t want to waste your readers’ time defining ideas that are in standard usage. At times, though, there will be sufficient vagueness or dispute around a term that you’ll want to lead your readers through the process of defining it. And at times, the exploration of a term can be both topical and exciting!

The Definition Litmus Test

Of course, “vague” and “disputed” can exist in various degrees, so here’s a way for you to decide whether or not the idea you’re putting forward requires a definition:

Is the term complex enough to need clarification? The word “sentience,” for example, applied to philosophy, was originally used to distinguish emotion from reason, referring to the former exclusively. It has also been applied, through metaphysics and even science fiction, as a synonym for “consciousness” or “self-awareness,” and some traditions even argue that there are degrees of sentience.
Is there contention around the usage of the term? Tension and conflict make for compelling reading. In order to take the reader’s time, you’ll want to address issues fraught with contention. The idea of what constitutes a “sentient being,” for example has been disputed in relation to human and animal rights. Some say “sentience” connotes an ability to suffer and should indicate the need for protection. Others say that the ability to create abstractions is necessary for sentience, linking it to consciousness and therefore excluding animals and fetuses in any class protected as “sentient.”
Does the term have a storied history? Will tracing the origin of the idea offer insight into the usage(s) you are advocating? For example, the word “sentience” comes from the Latin word, “to feel” (sentire) as distinct from “to reason.” In the hands of later Westerners, it was used to indicate “the ability to experience sensations,” which offers a slight variation. It then entered the metaphysical parlance as “the ability to have subjective experience,” and so on.
Will creating a definition move the reader toward a new understanding of a broader issue? Why do you want to define the term? You’ll usually have a motive that includes persuading others to adopt one or another view of the topic.

Supporting Your Points

While speculation is not unheard of in definition essays (you are positing an opinion, after all), the bulk of your essay will need to be undergirded by supporting documents: the words of other thinkers on the topic, research done on the subject, and documentation of the various definitions that have evolved over time.

Structure of the Definition Essay

Introduction

You’ll want your reader to know right away why you’re choosing to define (or re-define) this term. You can begin with a sentence that illustrates the importance of the term, the reason it needs to be reexamined at this time, or even its controversial nature.

Body

In the body of the paper, you’ll need to address the evolution of the term, the controversy over the term, and the complexities that have caused confusion. Here, we will use the Sociology 2e text on the definition of “family,” by OpenStax CNS, as an example for each. They are in the order in which they appear in the original; note that the order in which the authors address the necessary parts of the body paragraph is dictated not by any particular form but by the way they flow best for the reader’s understanding.

Controversy – Notice that in addition to referencing definitions that different groups hold of “family,” the authors lay out how they define family in this text. They also further define family by distinguishing types of families. They could have gone on to create more categories, but the two mentioned here are sufficient for this introduction to the concept.

The question of what constitutes a family is a prime area of debate in family sociology, as well as in politics and religion. Social conservatives tend to define the family in terms of structure with each family member filling a certain role (like father, mother, or child). Sociologists, on the other hand, tend to define family more in terms of the manner in which members relate to one another than on a strict configuration of status roles. Here, we’ll define family as a socially recognized group (usually joined by blood, marriage, cohabitation, or adoption) that forms an emotional connection and serves as an economic unit of society. Sociologists identify different types of families based on how one enters into them. A family of orientation refers to the family into which a person is born. A family of procreation describes one that is formed through marriage. These distinctions have cultural significance related to issues of lineage.

Complexities – Here, the authors delve deeper into the meaning of “family” by exploring two approaches to its definition: “interactionism” and “functionalism.” Notice the supporting reference regarding the latter line of thought. Also notice that the authors are not asking the reader to make a choice between these two streams (as they did in the area of controversy) but are embracing both paradigms as valid and relevant and including them both in their definition.

Drawing on two sociological paradigms, the sociological understanding of what constitutes a family can be explained by symbolic interactionism as well as functionalism. These two theories indicate that families are groups in which participants view themselves as family members and act accordingly. In other words, families are groups in which people come together to form a strong primary group connection and maintain emotional ties to one another over a long period of time. Such families may include groups of close friends or teammates. In addition, the functionalist perspective views families as groups that perform vital roles for society—both internally (for the family itself) and externally (for society as a whole). Families provide for one another’s physical, emotional, and social well-being. Parents care for and socialize children. Later in life, adult children often care for elderly parents. While interactionism helps us understand the subjective experience of belonging to a “family,” functionalism illuminates the many purposes of families and their roles in the maintenance of a balanced society (Parsons and Bales 1956).

Evolution – For this portion of the body, the authors offer a variety of current perspectives on the term “family” using studies to trace popular opinion. They have woven in the traditional interpretations of the concept, but to articulate them more explicitly might have proved tedious reading, since most of us have some familiarity with the history of this particular concept. Even if the historical information proved surprising, the authors were right to focus on current evolution since they are posing the question of how the concept is currently perceived. You will have to decide how far you want to delve into the history of the term you are exploring based on the relevance of each part of its evolution to your current thesis.

People in the United States as a whole are somewhat divided when it comes to determining what does and what does not constitute a family. In a 2010 survey conducted by professors at the University of Indiana, nearly all participants (99.8 percent) agreed that a husband, wife, and children constitute a family. Ninety-two percent stated that a husband and a wife without children still constitute a family. The numbers drop for less traditional structures: unmarried couples with children (83 percent), unmarried couples without children (39.6 percent), gay male couples with children (64 percent), and gay male couples without children (33 percent) (Powell et al. 2010). This survey revealed that children tend to be the key indicator in establishing “family” status: the percentage of individuals who agreed that unmarried couples and gay couples constitute a family nearly doubled when children were added.

The study also revealed that 60 percent of U.S. respondents agreed that if you consider yourself a family, you are a family (a concept that reinforces an interactionist perspective) (Powell 2010). The government, however, is not so flexible in its definition of “family.” The U.S. Census Bureau defines a family as “a group of two people or more (one of whom is the householder) related by birth, marriage, or adoption and residing together” (U.S. Census Bureau 2010). While this structured definition can be used as a means to consistently track family-related patterns over several years, it excludes individuals such as cohabitating unmarried heterosexual and homosexual couples. Legality aside, sociologists would argue that the general concept of family is more diverse and less structured than in years past. Society has given more leeway to the design of a family making room for what works for its members (Jayson 2010).

Conclusion

Your conclusion will offer a clarified working definition of the term, a brief restatement of the evolution of your reasoning, and a comment on the consequences of this decision as you and the reader move forward.

Georgia Wall’s ethnographic essay on the meaning of food and foodways to Italian immigrants in London as an exploration of the definition “heritage” offers such a conclusion:

The concept of heritage emerges through the narrative of Sud Italia as a key intersect between private affect and public articulation. Contradictions are implicit in the term, which appeals to institutional authorities, such as UNESCO, for the valorization and reification of apparently intensely personal values and practices; making pizza, or speaking a local language. These tensions are reflected in the pertinence it acquires in individual expression. Heritage is on the one hand an imprecise resource that is seen as embodied in family members and transmitted as an indefinite set of values, affects and practices, to which subscription marks out the boundaries of a collective. On the other, through the concept of “global heritage”, specific perspectives—predominantly Western—transform reservations regarding the present and/or future into a celebration of the past, bestowing significance upon certain practices and artefacts. Heritage therefore represents both personal explorations of meaning and the articulation of group affect and anxiety, and implicates both in hierarchies of power and authority. Further critical attention to the concept promises not only alternative ways of conceptualizing the life course and intergenerational transfer, but also new insights into the mobility of people, ideas, and things through and across time, and the changes in value these processes generate.

Writing definition essays can give you an entirely new way of looking at writing, having had the experience of delving deeply into the history of a word or phrase. Just like anything else, language is in a process of evolution. As writers, we are documenting the current climate in which these words exist, providing edification wherever it will be useful to the reader.

8.2.6: Description

The rhetorical mode “description” conveys sensory images to the reader so as to deeply connect him or her to the subject.

Learning Objective

Determine the purpose and structure of description.

Key Points

Good description makes the reader feel as if they’re experiencing the subject.
Sensory description can connect the reader emotionally to the material.
While detailed sensory images are key to good descriptive passages, it is important to be discerning when selecting both type and number.

Key Terms

Description: A rhetorical mode used to convey a mental image of an object, idea, situation, or event so that the reader feels connected to it through the senses.
sensory: relating to one of the five primary senses: seeing, hearing, tasting, touching, and smelling

A Mode of Transportation

Description is a rhetorical mode you’ll want in your toolbox because it places your reader in the scene you’re describing. You’ll likely relate this tool to fiction, because the best novels use description to capture our imagination.

Description in Fiction

Note the detailed imagery in this example from the Custom House Introductory to the Scarlet Letter, by Nathaniel Hawthorne, which foreshadows the lack of mercy found by Hester Prynne.

Over the entrance hovers an enormous specimen of the American eagle, with outspread wings, a shield before her breast, and, if I recollect aright, a bunch of intermingled thunderbolts and barbed arrows in each claw. With the customary infirmity of temper that characterizes this unhappy fowl, she appears, by the fierceness of her beak and eye and the general truculency of her attitude, to threaten mischief to the inoffensive community; and especially to warn all citizens. careful of their safety, against intruding on the premises which she overshadows with her wings. Nevertheless, vixenly as she looks, many people are seeking, at this very moment, to shelter themselves under the wing of the federal eagle; imagining, I presume, that her bosom has all the softness and snugness of an eider-down pillow. But she has no great tenderness, even in her best of moods, and, sooner or later,–oftener soon than late,–is apt to fling off her nestlings with a scratch of her claw, a dab of her beak, or a rankling wound from her barbed arrows.

Using Description in Non-Fiction to Persuade or Inform

Note that description is equally useful in essays, especially when you are making an emotional appeal of some kind. Transporting your reader to a different place and time with sensory language can be a very convincing way to make a point.

The following passage, for example, could be used in a petition to give the Jemaa el-Fnaa, a marketplace in Marrakesh, protected UNESCO status:

During the day it is predominantly occupied by orange juice stalls, water sellers with traditional leather water-bags and brass cups, youths with chained Barbary apes and snake charmers, despite the protected status of these species under Moroccan law. As the day progresses, the entertainment on offer changes: the snake charmers depart, and late in the day the square becomes more crowded, with Chleuh dancing-boys (it would be against custom for girls to provide such entertainment), story-tellers (telling their tales in Berber or Arabic, to an audience of locals), magicians, and peddlers of traditional medicines. As darkness falls, the square fills with dozens of food-stalls as the number of people on the square peaks. The square is edged along one side by the Marrakesh souk, a traditional North African market catering both for the common daily needs of the locals, and for the tourist trade. On other sides are hotels and gardens and cafe terraces, and narrow streets lead into the alleys of the medina quarter. Once a bus station, the place was closed to vehicle traffic in the early 2000s. The authorities are well aware of its importance to the tourist trade, and a strong but discreet police presence ensures the safety of visitors.

Vivid description can help your audience make an emotional connection to your subject, which is where the true power of the written word lies.

Writing Descriptive Passages

It’s all well and good to read and appreciate descriptive passages, but how does one actually write one while avoiding the common pitfalls of overdoing sensory images or confusing the reader with too little specificity?

To use the following chart, put yourself in the scene you want to describe for your reader. Notice the sensory impressions you witness in your imagination (or in reality) and record them. When you begin writing a descriptive passage, you can use these details to help you convey the sense images you experienced.

Sensory Image Notes for Descriptive Passages

Make notes of the sensations you experience as you imagine the phenomenon you’re describing to your reader.

Sensory Image Notes Chart

While you’ll want to fill in the chart as completely as possible, you’ll want to choose only a selection, only the most salient, to share with the reader. Here’s an example of going overboard a bit with description:

Chedwick’s hairy arm was slung carelessly over Luce’s delicate, birdlike shoulders. Her tiny, crooked nose wriggled involuntarily as the breeze crossed his armpit and gently carried his piquant scent her way. Her hair, meanwhile, had drifted lazily onto his neck and Chedwick had to resist slapping his Adam’s apple, so like a spider did it feel on his moist skin.

You can find a balance that sparks the reader’s imagination without overdoing the description. You can even add humor to the mix:

Notice how phrases like, “ready for a calvary charge,” “landed with a crash to the floor,” “she had landed on all fours on the ground,” “this wail of pain and suffering and surprise,” “my frantic seven-year-old brain,” and “scrambled back up onto the bunkbed with all the grace of a baby unicorn… with one broken leg” serve to draw the listener into the room with Shawn and his sister Amy.

Also notice that in each of the descriptive examples presented here, there is a sense of order, similar to a narrative, that serves to guide the reader’s imagination from one place to another. It may help to envision a film camera zooming in and around an area or a subject.

Whether you’re informing or persuading, putting your audience in the scene draws us in and makes us want to know more.

8.2.7: Illustration and Exemplification

Illustration and exemplification offers the reader internal images and stories to which to relate more abstract concepts and ideas.

Learning Objective

Determine the purpose and structure of illustration and exemplification.

Key Points

Images and stories can serve to enhance a reader’s understanding of a concept or idea.
While there may be a temptation to rely on cliches as illustrations, original language is usually more effective.
You may choose to simply make reference to a story if you’re certain your audience will be familiar with it, but if you’re not certain, it’s better to retell the story.
One story may be used and revisited throughout an essay as an example of the variations or the intricacies discussed.
It’s useful to take the time to create or find an example that most closely relates to the concept you are discussing so that the reader feels an immediate “Aha” of recognition.

Key Terms

illustration: A literary device in which one uses imagery-rich examples to enhance understanding of a concept.
exemplification: A rhetorical mode in which the writer uses one or more pertinent and concrete real or imagined examples of a concept in order to enhance the reader’s understanding.

For Instance…

Before enlightenment: chop wood, carry water. After enlightenment: chop wood, carry water.

This short proverb serves to illustrate a concept that’s a bit abstract: that not much on the material plane changes once one has attained spiritual transcendence, though a great deal shifts internally. Those on a spiritual path will often chuckle on hearing this, because it is an apt description of the apparent irony of working so hard for something that shows so little outward change — but which is nonetheless the most meaningful transformation they can envision.

This moment of recognition in your audience is what you’ll be going for when you use the tools of illustration and exemplification in your writing. Consider these other examples of illustration, which have served (and yes, perhaps over-served) to clarify some abstract concepts over the years:

“He’s barking up the wrong tree.”

“A bird in the hand is worth two in the bush.”

“She’s just following the herd.”

Each of these illustrations gives us a picture in our minds of a situation analogous to the point we’re trying to get across and thereby clarifies the concept for us in an instant.

Exemplification serves the same purpose, but explains using specific examples. If you were trying to describe the “law of diminishing returns,” for example, in economics, you might say:

While the first ice cream cone tastes creamy and delicious, the eighth ice cream cone is enough to make you sick.

In just one sentence, your reader has a solid idea of the concept of diminishing returns because you’ve related it to something familiar to most of us. While we haven’t all tried eating eight ice cream cones in a row, we’re probably able to imagine what it’s like, based on similar experiences and extending them through our imagination.

Too Many Ice Creams

An illustration demonstrating the law of diminishing returns.

Too many ice cream cones.

Don’t Get Tripped Up

The caution with illustrations and examples is to use original language as often as possible. One or two cliches like that above might serve the point well enough, but your real goal is to use language that will capture the reader’s imagination. Originality is the key.

How might you illustrate the following concepts without relying on cliches?

flexibility in parenting (without referring to a willow tree)
the love of a student for his mentor (without using the word “worship”)
a suspicion that something isn’t safe (staying away from “gut feeling”)
a very difficult task (avoiding “heroic”)

Now, consider how you would exemplify each of these concepts. Which do you find more effective?

There are little phrases in our language that combine illustration and exemplification. A “Sisyphean task,” for example, recalls the story of Sisyphus rolling a boulder up a hill endlessly, only to have it roll back down each time it gets almost to the top. People use it to explain a fruitless and frustrating endeavor.

A “Herculean task” has its roots in the stories of the challenges Hercules was forced to face and can refer to any deed that is very challenging to perform. (The Greek myths, in fact, are both illustrative and exemplary, as are Aesop’s Fables, Grimm’s Fairy Tales, and the like.)

Using this kind of reference may be useful if you know your audience is familiar with the stories, but if you’re not certain, you’ll need to either tell the full story or use a different way of illustrating your point.

Storytelling

Telling a story can transcend many blocks to a reader’s attention, including the most difficult to overcome: defensiveness. Illustration and exemplification are ways to offer the reader a connection to the material you’re presenting: drawing them in by getting specific.

Dana had just finished her radio broadcast and was rushing out the door to get to the day care center when her boss called after her. “Dana, I was just talking with Conrad from accounting, and he had some ideas I’d like to bounce off you. Could you come in here for a moment?” Dana stopped and for a split second considered pretending she hadn’t heard, but instead she sighed, plastered on a pleasant expression, and followed her employer into his office.

Using this illustration at the beginning of an essay about the many roles women have to play in their daily lives immediately humanizes and depoliticizes the issue for the audience. Instead of telling us what it’s like, the author is showing us, and that’s the first rule of effective writing.

This device is often used to introduce a concept, and the example or illustration can be revisited throughout the paper to further explicate the points you are making. Dana, for example, might have different experiences based on your ideas of how to solve the problems women face. Or you may simply outline your points without using examples and then revisit Dana at the end of the paper as having implemented all the changes you suggest. Hopefully, she’s better off in this new illustrative story.

Cautions

Be judicious and discerning with illustrations and examples. Make sure that you’re using the most appropriate example or illustration possible to enhance understanding.
Don’t overuse exemplars, or your audience may become confused.
Be cautious about using negative examples or illustrations that either disprove your point or show what happens if your point is not taken. Since imagery and examples tend to stick with a reader, it’s generally more effective to show what you do mean, rather than what you don’t mean.
If you do refer back to one example throughout the paper, be consistent with the description of the character or scene, changing only one variable at a time to illustrate a point.

How to Write an Illustration/Exemplification Essay

While most of the time, you’ll be using illustrations and examples to reinforce points in an essay, there will be times when the whole point of your essay is to explain a concept using illustration and exemplification. When that’s the case, here’s how to organize it:

Introduction

This paragraph tells your audience about the concept you’ll be illustrating. You may wish to initiate one example that you’ll be using as the anchoring theme throughout the paper, or you may wish to simply describe the concept here.

Illustrative/Exemplifying Paragraphs

Two or more paragraphs offer illustrations or examples — usually one per paragraph — to show the audience what the concept looks/smells/feels/tastes/sounds like in life (real or imagined life). Your examples can also serve to distinguish the concept from similar concepts or opposite concepts, if that will help clarify.

Conclusion

Here, you will restate the concept you’re examining and revisit the introductory example, or all examples. Or you may choose to create one final strong example to cement your reader’s understanding.

8.2.8: Narration

The narrative rhetorical mode is a natural and appealing way to present or reinforce a perspective in the form of a story.

Learning Objective

Determine the purpose and structure of narration.

Key Points

The narrative rhetorical mode uses storytelling to support a point or to educate an audience on a particular topic.
Storytelling is so deeply ingrained in human relationships and society that readers may be more open to and enthusiastic about narrative as a technique.
Satirical narrative offers one story as an allegorical criticism of a real-life event or situation.
Narrative is made clear by exposing the events in small pieces, in chronological order.
Narrative is made more interesting using literary devices like suspense, imagery and verisimilitude to put the reader in the scene.

Key Terms

Narrative: In writing, telling a story, using descriptive elements, in chronological order, to support a point.
imagery: Language used in description through sensory experience.
verisimilitude: The inclusion of seemingly truthful details appropriate to the story being told so as to make it believable to the reader.

The Thing We Need Most in the World

I had decided to become an anthropologist—in May, 1923—because Franz Boas and Ruth Benedict had presented the tasks of anthropology as more urgent than any other task which lay ready to the choice of a student of human behavior.

What feelings and thoughts does this quote by Margaret Mead bring up in you when you read it? Why does she include this personal glimpse in her preface to the 1949 edition of Coming of Age in Samoa?

By using even a brief personal story, Mead is helping her readers relate to her and open to her viewpoint. Her mentors and teachers instilled in her a sense of purpose — an urgent one, at that — to study human behavior as it happens naturally in a variety of societies and cultures. We can all relate to the feeling of longing for a sense of purpose, even though we may not have an interest in anthropology specifically. Most of us will nod knowingly at her decision because we understand that when one finds a sense of purpose, the will to make it happen follows strongly.

Narrative reports to the reader a story related to the point the writer is trying to make. The reason we use narrative is because storytelling is the most natural way for us humans to communicate. Not unlike ethnography, it’s both a way we find of relating to one another and a way we learn to understand our differences.

We use stories to educate and to entertain. Stories feel friendlier than lists of facts or citations of scientific studies. Humans seem to hunger for stories, and so narrative may be the most well-received of rhetorical devices.

As Philip Pullman said,

After nourishment, shelter and companionship, stories are the thing we need most in the world.

Using Narrative

You’ll find narrative useful in an essay when you want your reader to identify with your perspective or with the view taken by one of your characters or subjects. Documentary filmmaking is full of narrative examples: people tell us the story of what happened as if they were witnesses, even if the event happened many years before they were born. It’s an effective technique because the filmmaker weaves a tale for us through each narrator.

You can take a similar approach in writing, laying out the facts of a story interspersed with first-person perspectives. Or you might, as Mead did, offer your reader insight into your own thought process as you came to understand the concept or event.

Satire can be a particularly effective form of narrative, exemplified by Animal Farm and Gulliver’s Travels, as it exposes the defects in an idea or society by telling a fictional tale of a different social group. Fictional characters stand in for real people or play out social ideas, usually political in nature.

Writing the Narrative Essay

If you are using narration as the primary strategy in writing a paper, you will use some semblance of the following format:

Introduction

Here, you will give a description of the event you will be spelling out in the essay and the reason(s) you’re examining it. Why should your audience be interested? Your final introductory sentence will state simply that you are offering a narrative account of the event.

Narrative Paragraphs

You will divide the event into smaller events and give each of these smaller incidents a paragraph. These will be simple explanations of what happened when, though in a more complex essay you might include reasons for each event and comparisons to another, more current circumstance. Accounts by historians, witnesses, or thought leaders can be woven into the narrative to strengthen the perspective you’re offering or to offer the possibility of another perspective, in an effort to provide an objective report.

You’ll want to make each portion of the narrative interesting to the reader, so use literary devices like suspense, imagery, verisimilitude, and surprise, perhaps along with a little humor, if appropriate, to keep your audience engaged.

Conclusion

You’ll leave your reader with a summary of the event and make reference to the reason(s) for examining it that you presented in the introduction. You may decide to end with some ideas about how this event is relevant to the reader and to the world at this time.

The checklist for a narrative essay:

Have a clear purpose.
Tell the story clearly and chronologically.
Make the narrative interesting.
Relate it to something larger than itself, either overtly, or covertly.

Happy storytelling!

8.2.9: Process Analysis

Process analysis describe in detail how something is accomplished or created.

Learning Objective

Determine the purpose and structure of process analysis.

Key Points

Process analysis describes how something is done.
An informative process analysis describes how something happens.
A descriptive process analysis gives instructions for how to do something.
Process analysis consists of breaking a whole into its parts and explaining each part.
The body paragraphs of process analysis essays may be organized in a variety of ways, depending on what will be most useful to a reader seeking clarity of instruction.

Key Terms

Process analysis: A step-by-step explanation of how something is done.
directive analysis: A step-by-step instructive tutorial.
informative analysis: A description of how something happens or is accomplished.

Here’s the How

Process analysis answers the “how” question with the idea that readers will be able to replicate a process themselves, or at least thoroughly understand it, after reading the paper. That means it needs to be both detailed and thorough.

It doesn’t follow that it needs to be long, however. Consider this example:

Laws begin as ideas. First, a representative sponsors a bill. The bill is then assigned to a committee for study. If released by the committee, the bill is put on a calendar to be voted on, debated or amended. If the bill passes by simple majority (218 of 435), the bill moves to the Senate. In the Senate, the bill is assigned to another committee and, if released, debated and voted on. Again, a simple majority (51 of 100) passes the bill. Finally, a conference committee made of House and Senate members works out any differences between the House and Senate versions of the bill. The resulting bill returns to the House and Senate for final approval. The Government Printing Office prints the revised bill in a process called enrolling. The President has 10 days to sign or veto the enrolled bill.

A complex process has been explained completely by breaking it into parts and briefly describing each step.

Purposes

There are two possible reasons you’d want to write a process analysis. One is illustrated by the paragraph above explaining how a bill becomes a law: the informative analysis. The purpose here is to help people understand how something happens.

A directive analysis shows the reader how to do something himself or herself. You might teach the reader to fish, for example, or demonstrate the steps to defuse an incendiary device.

In either case, gathering all the steps and putting them into the correct order are your two prewriting tasks.

The Process Analysis Essay

You may, of course, decide to use process analysis as part of any kind of writing, from a blog post about house cleaning to a letter to your grandmother about advanced Google searches. But in academic work, you maybe asked to write a specific essay dedicated to process analysis. Here’s how it will look:

Introduction

Here, you’ll want to briefly explain the “why” of your paper. What purpose does the soon-to-be-described activity or process serve? You’ll also list each step and then state the general idea of what you’re describing in the last sentence of the paragraph.

Body Paragraphs

Each paragraph of the body of the paper will describe a specific step or stage of the process. You can begin with the “why” of the step, including how it naturally follows the previous step, if appropriate, and then describe the step in detail. You can end the paragraph with a lead-in to the next stage of the process.

You will want to organize the material in whatever way will be the most useful to your audience. For example, a process analysis of pruning an apple tree will need to be divided based on the stage of growth of the tree, the time of year, and the goal of pruning. In such cases, numbering sections can help if you direct the reader, as in, “If you are dealing with old or neglected trees, skip to Section Two.”

Conclusion

Here, you’ll recap the steps briefly and expand on the usefulness of the process. As usual with conclusions, you’ll move from the specific to the broad. Here is an example of the last sentence of a concluding paragraph:

Whether your work is rescuing an old orchard, cultivating a new one, or simply trimming a single tree, your reward will be a bounty of blooms in the spring, followed in the fall by the supreme sweetness that can only come from fruit you’ve grown yourself.

Examples of process analysis are all over the web. It’s one of the most exciting benefits of the internet. Here’s a creative tutorial:

Chapter 7: Writing Effective Paragraphs

7.1: Organizing Your Ideas

7.1.1: Topic Sentences

Separating your main points into different paragraphs allows the reader to feel the cumulative effects of the mounting evidence for your claim.

Learning Objective

Choose the best topic sentence to begin a paragraph

Key Points

Introduce each paragraph with a topic sentence that tells your audience what you will argue in that paragraph. By providing readers with expectations at the beginning of the paragraph, you help them understand and keep track of the overall structure of your argument.
Each topic sentence should make a distinct point in support of your thesis statement.
A paragraph should make only one claim and should contain all the necessary evidence for that claim. This is key to making an argument flow smoothly and thus persuading the reader to understand your point.
Evidence and examples are best used as support within a paragraph rather than as a topic sentence.

Key Terms

thesis statement: Often found at the end of the first paragraph of an essay or similar document, it summarizes the main points and arguments of the author.
paragraph: A passage in a text about a subject that is different from that of the preceding text, marked by commencing on a new line, with the first line sometimes being indented.
claim: A new statement of truth made about something, usually when the statement has yet to be verified.
topic sentence: A statement of the main idea of the paragraph in which it occurs.

When you created the outline, you wrote a thesis statement and then all the claims you are using to support it. You then organized your research, finding the evidence to support each claim. You’ll be very grateful to have done that sorting now that you’re ready to write paragraphs. Each of these claims will become a topic sentence, and that sentence, along with the evidence supporting it, will become a paragraph in the body of the paper.

Paragraph Structure

Each paragraph is a self-contained portion of your argument. Each paragraph will begin by making a claim (the topic sentence) that connects back to the thesis. The body of the paragraph will present the evidence, reasoning, and conclusions that pertain to that claim. Usually, paragraphs will end by connecting their claim to the larger argument or by setting up the claim that the next paragraph will contain.

Topic sentence: summarizes the main idea of the paragraph; presents a claim that supports your thesis.
Supporting sentences: provide examples, details, and explanations that support the topic sentence (and claim).
Concluding sentence: gives the paragraph closure by relating the claim back to the topic sentence and thesis statement.

Paragraphs should be used to develop one idea at a time. If you have a lot of ideas and claims to address, you may be tempted to combine related claims into the same paragraph. Don’t do it! Combining different points in the same paragraph will divide your reader’s attention and dilute your argument. If you have too many claims, choose the strongest ones to expand into paragraphs, or research the counterarguments to see which of your claims speak most powerfully to those.

By dedicating each paragraph to only one part of your argument, you will give the reader time to fully evaluate and understand each claim before going on to the next one. Think of paragraphs as ways of guiding your reader’s attention—by giving them a single topic, you force them to focus on it. When you direct their focus, they will have a much easier time following your argument.

Creating Topic Sentences

Every paragraph of your argument should begin with a topic sentence that tells the reader what the paragraph will address—that is, what that paragraph’s claim is. By providing the reader with expectations at the start of the paragraph, you help him or her understand where you are going and how the paragraph fits in with the overall structure of your argument. Topic sentences should always connect back to and support your thesis statement.

Things to Avoid Doing in Your Topic Sentence

Referring to the Paper or Paragraph Itself

You needn’t say directly, “This paragraph is about …” You don’t want your reader reminded that he or she is reading a paper. The focus should be on the argument. This kind of announcement is like riding with training wheels in the Tour de France. You don’t really need this crutch, and seeing it in a paper can be somewhat startling to the reader, who’s expecting a professional presentation.

Offering Evidence or an Example

“On one occasion, another EMT and I were held at gunpoint.” Stick with your claim in your topic sentence, and let the rest of the paragraph address the evidence and offer examples. Keep it clear by stating the topic and the main idea. “Twenty-first century emergency-services personnel face an ever-increasing number of security challenges compared to those working fifty to a hundred years ago.”

Not Being Specific Enough

“Cooking is difficult.” The topic may relate to your thesis statement, but you’ll need to be more specific here. For whom is cooking difficult, and why? “While there are food pantries in place in some low-income areas, many recipients of these goods have neither the time nor the resources to make nutritionally sound meals from what they receive.” (Stylistically speaking, if you wanted to include “Cooking is difficult,” you could make it the first sentence, followed by the topic sentence. It just shouldn’t be the topic sentence.)

Papers

Well-structured paragraphs make your paper easier to understand and more enjoyable for your readers.

7.2: Connecting Your Ideas

7.2.1: Transitions, Signal Phrases, and Pointing Words

Transitions connect your ideas and make it easier for your readers to follow your thought process.

Learning Objective

Identify situations where transition words are needed

Key Points

The first step in writing a clear paper is creating separate paragraphs for each idea that supports the paper’s main thesis.
Transitions can make connections between different paragraphs or between sentences within the same paragraph.
Pointing words connect the content from one part of the paper and relate it to another part.
A signal phrase alerts the reader that the writer is about to cite evidence from an outside source.

Key Terms

signal phrases: A sentence or phrase alerting the reader that the upcoming information is not the writer’s but is from an outside source.
pointing words: A term, such as “this” or “that,” referring back something or someone mentioned earlier in the text.
transition: A word or phrase connecting one part of a discourse to another.

In expository writing, each paragraph should articulate a single main idea that relates directly to the thesis statement. This construction creates a feeling of unity, making the paper feel cohesive and purposeful. Connections between ideas—both between sentences and between paragraphs—should enhance that sense of cohesion.

Following the parts of a poorly constructed argument can feel like climbing a rickety ladder. Transition words and phrases support the rungs and rails, smoothing the journey of reading your paper so it feels more like climbing a wide, comfortable staircase. Remember, though, that transitions are more than just words and phrases; if you’re having trouble coming up with transitions between paragraphs, revisit your essay’s overall structure to make sure your ideas themselves are arranged in a logical order, with no repetitions or missing steps.

Why Use Transitions?

Using transitions will make your writing easier to understand by providing connections between paragraphs or between sentences within a paragraph. A transition can be a word, phrase, or sentence—in longer works, they can even be a whole paragraph. The goal of a transition is to clarify for your readers exactly how your ideas are connected.

Transitions refer to both the preceding and ensuing sentence, paragraph, or section of a written work. They remind your readers of what they just read, and tell them what will come next. By doing so, transitions help your writing feel like a unified whole.

Transitions Between Paragraphs

In Topic Sentences

Using transitions in your topic sentences can explain to the reader how one paragraph relates to the previous one. Consider this set of topic sentences from a paper about metrical variation in the poem “Caliban Upon Setebos”:

Paragraph one: “Browning begins the poem by establishing a correspondence between metrical variation and subversive language.”
Paragraph two: “Once Caliban begins his exploration of the nature of Setebos, though, the pattern established earlier in the poem begins to break down.”
Paragraph three: “Browning further subverts the metrical conventions established in the opening stanza by … switching to iambic pentameter when acknowledging that unmotivated events can and do occur.”

The transitions help the reader understand how the argument is progressing throughout the paper, beginning with the poem’s basic meter, then explaining different ways in which the pattern shifts. The word “though” in the second topic sentence lets the reader know that the pattern explained in the first paragraph is going to change in the second paragraph. The use of “further” in the third topic sentence alerts the reader that the pattern is shifting again in the third paragraph. These simple words are the handrail for the steps the reader is climbing.

In Concluding Sentences

A paragraph’s concluding sentence also offers an excellent opportunity to begin the transition to the next paragraph—to wrap up one idea and hint at the next.

You can use a question to signal a shift:

It’s clear, then, that the band’s biggest selling original compositions were written early in their career, but what do we know about their later works?

Alternatively, you could conclude by comparing the idea in the current paragraph with the idea in the next:

While the Democratic Republic of Congo is rich in natural resources, it has led a troubled political existence.

An “if–then” structure is a common transition technique in concluding sentences:

If we are decided that climate change is now unavoidable, then steps must be taken to avert complete disaster.

Here, you’re relying on the point you’ve just proven in this paragraph to serve as a springboard for the next paragraph’s main idea.

Transitions Within Paragraphs

Transitions within a paragraph help readers to anticipate what is coming before they read it. Within paragraphs, transitions tend to be single words or short phrases. Words like while, however, nevertheless, but, and similarly, as well as phrases like on the other hand and for example, can serve as transitions between sentences and ideas. See the “List of Common Transitional Devices” below for more examples.

Pointing Words

Pointing words let you refer back to complex ideas concisely. Also called “hooks,” these words scoop up the information just offered and link it to other information in the paper. Let’s look at an example:

There is nothing overtly deviant about the poem’s formal elements. But upon close examination, those intricacies of form are even more suggestive of a problem in the island hierarchy than is the content of Caliban’s speech.

This is a concluding sentence, and the word “those” refers to the writer’s argument laid out in the previous paragraphs. If the writer had instead written “the intricacies,” we readers might not know to mentally link the previous argument with this statement. Using the word “those” is a gesture to include all the references to form that went before this paragraph.

Can you see how the pointing words (this, that, these, those) in the following examples serve to link one idea to the next, or to the main idea of the paper?

“For those reasons …”
“This suggestion is further buoyed by …”
“These facts clearly point to …”
“That kind of reasoning only makes sense if …”

Signal Phrases

Also within paragraphs, signal phrases alert the reader that he or she is about to read referenced material, such as a quotation, a summation of a study, or statistics verifying a claim. Ideally, your signal phrases will connect the idea of the paragraph to the information from the outside source.

“Jennifer Aaker of the Global Business School at Stanford University writes, in support of this idea, that …”
“In fact, the United Nations Environmental Program found that …”
“However, ‘Recycling programs,’ the Northern California Recycling Association retorts …”
“As graph 3.2 illustrates, we can by no means be certain of the outcome.”

Such phrases prepare the reader to receive information from an authoritative source and subconsciously signal the reader to process what follows as evidence in support of the point being made.

Here are some common signal-phrase verbs: acknowledges, adds, admits, argues, asserts, believes, claims, confirms, contends, declares, denies, disputes, emphasizes, grants, implies, insists, notes, observes, points out, reasons, refutes, rejects, reports, responds, suggests, thinks, writes.

Transition Paragraphs

In longer works, you might need an entire paragraph to connect the ideas presented in two separate sections. The purpose of a transitional paragraph is to summarize the information in the previous paragraph, and to tell your reader how it is related to the information in the next paragraph. Transition paragraphs are good places to review where you have been and how it relates to the next step of your argument.

Appropriate Use of Transition Words and Phrases

Before using a particular transitional word or phrase, be sure you completely understand its meaning and usage. For example, if you use a word or phrase that indicates addition (“moreover,” “in addition,” “further”), you must actually be introducing a new idea or piece of evidence. A common mistake with transitions is using such a word without actually adding an idea to the discussion. That confuses readers and puts them back on rickety footing, wondering if they missed something.

Whenever possible, stick with transition words that actually have meaning and purpose. Overusing transition words, or using them as filler, is distracting to the reader. “It is further concluded that,” for example, sounds unnatural and a little grandiose because of the passive voice. “Also,” or “Furthermore” would be clearer choices, less likely to make the reader’s eyes roll.

With that said, here are some examples of transitional devices that might be useful once you’ve verified their appropriateness:

To indicate addition: and, again, and then, besides, equally important, finally, further, furthermore, nor, too, next, lastly, what’s more, moreover, in addition, still, first (second, etc.).

“Strength of idea is indeed a factor in entrepreneurial success, but equally important is economic viability.”

To indicate comparison: whereas, but, yet, on the other hand, however, nevertheless, on the contrary, by comparison, where, compared to, up against, balanced against, although, conversely, in contrast, although this may be true, likewise, while, whilst, although, even though, on the one hand, on the other hand, in contrast, in comparison with, but, yet, alternatively, the former, the latter, respectively, all the same.

“In contrast to what we now consider his pedantic prose, his poetry seemed set free to express what lies in every human heart.”

To indicate a logical connection: because, for, since, for the same reason, obviously, evidently, furthermore, moreover, besides, indeed, in fact, in addition, in any case, that is.

“The Buddha sat under the bodhi tree for the same reason Jesus meditated in the desert: to vanquish temptation once and for all.”

To show exception: yet, still, however, nevertheless, in spite of, despite, of course, once in a while, sometimes.

“Advocates of corporate tax incentives cite increased jobs in rural areas as an offset; still, is that sufficient justification for removing their financial responsibilities?

To show time: immediately, thereafter, soon, after a while, finally, then, later, previously, formerly, first (second, etc.), next, and then.

“First, the family suffered a devastating house fire that left them without any possessions, and soon thereafter learned that their passage to the New World had been revoked due to a clerical error.”

To summarize or indicate repetition: in brief, as I have said, as I have noted, as has been noted, as we have seen, to summarize.

“We have seen, then, that not only are rising temperatures and increased weather anomalies correlated with an increase in food and water shortages, but animal-migration patterns, too, appear to be affected.”

To indicate emphasis: definitely, extremely, obviously, in fact, indeed, in any case, absolutely, positively, naturally, surprisingly, notwithstanding, only, still, it cannot be denied.

“Obviously, such a highly skilled architect would not usually be inclined to give his services away, and yet this man volunteered his services over and again to projects that paid him only through appreciation.”

To indicate sequence: first, second, third, and so forth, next, then, following this, at this time, now, at this point, after, afterward, subsequently, finally, consequently, previously, before this, simultaneously, concurrently.

“So, finally, the author offers one last hint about the story’s true subject: the wistful description of the mountains in the distance.”

To indicate an example: for example, for instance, in this case, in another case, on this occasion, in this situation, take the case of, to demonstrate, to illustrate, consider.

“Take, for example, the famous huckster P. T. Barnum, whose reputation as ‘The Prince of Humbugs’ belied his love and support of the finer things of life, like opera.”

To qualify a statement: under no circumstances, mainly, generally, predominantly, usually, the majority, most of, almost all, a number of, some, a few, a little, fairly, very, quite, rather, almost.

“Generally, we can assume that this statement has merit, but in this specific case, it behooves us to dig deeper.”

The transition of the sun

Transition words and phrases are used to make the shift from one idea to the next as smooth and seamless as the arc of the sun over the earth.

7.3: Keeping Your Writing Engaging

7.3.1: Varying Your Sentence Structure and Vocabulary

Effective writing includes variation of sentence structure, vocabulary, and other elements to keep the reader interested and engaged with the argument.

Learning Objective

Use varied sentence structure

Key Points

The tone, voice, and style of your writing are as important as the details you provide to support a thesis.
Papers will be boring for the reader if every sentence uses the same structure. Some of the best ways to vary sentence format are by adding and rearranging clauses.
Sentence length, sentence structure, sentence type, tone, vocabulary, transition words, and types of evidence can all be varied
so that your argument is more convincing and your points
more compelling to the reader.

Key Terms

tone: The manner in which speech or writing is expressed.
clause: The smallest grammatical unit that can express a complete proposition.

Argumentation isn’t just about what you say but how you say it. Even the most solid argument won’t get far with a reader if the text isn’t engaging. But how do we do that?

Perhaps the biggest secret to creating captivating writing is variation. Without it, your reader might fall asleep from boredom.

If you’ve ever been in a vibrant debate with someone you respected about beliefs you hold dear, you have a sense of just the kind of life we want to capture when we’re writing. Learning, debating ideas, digging for the truth: these things are all fun! No need for “anyone” to be drooling on his desk.

If variation is key, what can we vary? We’ve discussed the importance of structure. Readers need to depend on the paper’s structure to be able to follow the argument. The introduction, conclusion, body paragraphs with topic sentences and transitions are all essential. Within the structure, however, you can vary the following:

sentence length
sentence structure
sentence type
tone
vocabulary
transition words and categories
types of evidence

You’ll want to have reasons for the choices you make. Adding random rhetorical questions will sound strange, but if you ask the right question at the right time, it will make the reader think. The same will be true of all variation. There must be a good reason to choose a particular sentence structure or a new type of evidence.

There are no codified rules on how to vary sentence structure, nor are there lists of all the different types of phrasing you can use. The English language allows for so much flexibility that such a list would be never-ending. However, there are some aspects of writing that you should consider when looking for different sentence formats.

Clauses: The easiest way to vary sentence length and structure is with clauses. Multi-clause sentences can connect related ideas, provide additional detail, and vary the pattern of your language.

Length: Longer sentences are better suited for expressing complex thoughts. Shorter sentences, in contrast, are useful when you want to emphasize a concise point. Clauses can vary in length, too.

Interrogatives: When used sparingly, questions can catch your reader’s attention. They also implicate your reader as a participant in your argument by asking them to think about how they would answer the question.

Tone: If you really want a sentence to stand out, you can change the tone of your writing. Using different tones can catch the reader’s attention and liven up your work. That means you can be playful with your reader at times, sound demanding at times, and cultivate empathy when that feels appropriate. Be careful that the tone you choose is appropriate for the subject matter.

Syntax variation cultivates interest. Start playing with structure. Try changing a sentence’s language to make it sound different from the ones around it.

Syntactical Variation

Here is an example of what a paragraph with a repetitive syntax can sound like:

“Looking Backward was popular in the late nineteenth century. Middle-class Americans liked its vision of society. The vision appealed to their consumption habits. Also, they liked the possibility of not being bothered by the poor.”

Choppy? Uninteresting? Here’s the rewritten version, with attention paid to sentence variation:

“The popularity of Looking Backward among middle-class Americans in the late nineteenth century can be traced to its vision of society. The novel presents a society that easily dispels the nuisance of poverty and working-class strife while maintaining the pleasure of middle-class consumptive habits.”

What’s different here? The rewrite simply combines the
first two and the last two sentences and adds a bit of variation in vocabulary, but the difference is powerful. Of course, if all the sentences were compound like these,
the paper would begin to sound either pretentious or exhausting. If this were your paper, you might want to make the next sentence a
short one and get to your thesis statement soon.

Varying Vocabulary

One way to avoid appearing overly repetitive is to consult a thesaurus and use synonyms. However, when using synonyms, you should make sure that the word you choose means exactly what you think it means. (“Penultimate,” for example, does not mean “the highest,”

and there’s a difference between “elicit” and “illicit.”)
Check the connotations of synonyms
by looking up their definitions.

Varying Transitions, Signal Words, Pointing Words, and
Pronouns

Writers who are familiar with their own habits will sometimes research a word or phrase they typically overuse (“however,” “that said,” “moreover”)
and replace some of those words with another transition, or they might rework a sentence to avoid
using any transition words in that spot if they feel they’re overdoing it. Nouns, too, often get overused when pronouns
would sound more natural. Don’t worry
about this too much in the writing phase. You just want to get your thoughts on
the page. But as you revise, keep an eye
out for repetition and switch things up a bit to keep your paper
interesting.

Introducing variation benefits not only your reader but also you, the writer. Conceiving of different ways to communicate essential elements of your argument will allow you to revisit what makes these elements essential and to consider the central argument you are making. Each variation is a chance to introduce nuance into your writing while driving your point home. However, variation should never be your main goal—don’t sacrifice audience comprehension to achieve stylistic virtuosity. You’ll just sound silly. The argument is the point.

Engaging your reader in different ways

Vary the types of sentences you use to keep your paper interesting.